Holiday Hours

In observance of Memorial Day, WebCE Support Services hours will be:
Fri, May 24th: 7:00am-7:00pm CST | Sat, May 25th: 10:00am-3:00pm CST | Sun May 26th - Mon May 27th: Closed

We will resume our regular hours of 7:00am-7:00pm CST on Tues May 28th, Online catalogs and course delivery will be available without interruption.

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 

Find this course for your license:

License or Certification

Regulator

Type