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.
Find this course for your license
License or Certification
Regulator
Type
Learning Objectives
- 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
Course Information
Adding additional credit may change exam requirements.
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