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Printer-Friendly Variable Products: Suitability, Disclosure and Supervision

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October Course Agenda (PDF 29 KB)

This course qualifies for FINRA Institute at Wharton Certified Regulatory and Compliance Professional™ (CRCP™) credit for candidates who have taken courses prior to January 2007. Participants taking the course who are not CRCP Program candidates prior to January 2007 are not required to take the assessment exercise and will not earn CRCP credit.

Course Description

This course provides a survey of variable annuities and variable life products, and focuses on sales practices and regulatory requirements. Coursework covers the implementation of suitability and disclosure programs.

After completing this course, you will be able to:

• Identify characteristics of variable insurance products
• Discuss the sales practice and suitability issues associated with variable products
• Assess the suitability of a 1035 Exchange
• Identify and respond to red flags pertaining to suitability, disclosure of fees and services, and subaccount allocations
• Explain the suitability, supervision and training requirements under the deferred variable annuity rule—NASD Rule 2821

Only FINRA's Spring and Fall Securities Conferences are open to the media. All other FINRA conferences, pre-conferences, seminars, and other professional development courses are closed to the media.