Understanding Variable Annuities, Supervision

Overview

In this course, we will discuss key rules and regulations regarding the supervision requirements in the sale of variable annuities. 

Learning Objectives

Upon completion of this course, you should be able to:

  • Describe the key provisions of FINRA Rule 2330: Members’ Responsibilities Regarding Deferred Variable Annuities
  • Describe the key provisions of FINRA Rule 5310: Best Execution and Interpositioning
  • Identify the key regulatory areas for state oversight of annuities

Designed For

Supervisors of Registered Representatives 
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