FINRA: Variable Annuities: Suitability and Disclosure for New Purchases

Overview

This course explains variable annuities and the unique suitability factors that must be considered before recommending this complex investment product. Scenarios lead participants through suitability determinations based on a customer’s financial situation and investment objectives.

Learning Objectives

Upon completion of this course, students will be able to:

  • understand the issues regarding suitability and disclosure before selling variable annuities
  • understand what questions are useful in determining a client’s suitability, under what conditions a sale is appropriate, what features help determine whether or not a client would find a variable annuity beneficial and what disclosures must be made to help the client make the decision
  • help customers make an informed decision when deciding to purchase variable annuities product

Designed For

All registered representatives and registered principals
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