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