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