FINRA: Variable Annuities Suitability Determinations for Exchanges

Overview

This course is designed to help registered representatives understand their suitability obligations when recommending variable annuity exchanges to their clients. Scenarios emphasize suitability determinations, disclosure, and the consequences of making unsuitable exchange recommendations.

Learning Objectives

Students who successfully complete this course will be able to:

  • explain your regulatory obligations when recommending an  exchange to your client 
  • discuss important factors to consider before recommending an  exchange to your client
  • describe the consequences of making an unsuitable exchange  recommendation to your client

Designed for

Retail

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