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Printer-Friendly Variable Annuities: Requirements for Supervisors (VLC005)

This e-learning course discusses considerations for supervising recommendations of deferred variable annuity transactions. The program presents rule requirements and best practices around this issue, and then reinforces them with a scenario.

Purchase Options

• Individual Course

  Purchase this course at a FINRA-member rate of $12.50 per course, per user, or at a non-member rate of $20 per course, per user.
  
  

• Individual Library Subscription

  If you are considering purchasing three or more courses, a Library Subscription may be the most cost-effective option. The Library Subscription grants you access to FINRA's entire growing library of e-learning courses, including all newly released courses, for a period of one year from the date of the subscription purchase. The Library Subscription FINRA-member rate is $45 per user, and the non-member rate is $75 per user.
  
  

• Group Purchases and Unlimited-Use Site Licenses

  FINRA also offers Group Purchases and Unlimited-Use Site Licenses for two or more users.

Note: A user name and password will be emailed within 48 hours of receipt of payment.

Related Resources:

NASD Rule 2821 - Members' Responsibilities Regarding Deferred Variable Annuities

NASD Rule 2310 - Recommendations to Customers (Suitability)

Regulatory Notice 07-53

NASD Notice to Members 99-35

Variable Annuities Issues Page on FINRA Web site

Important Viewing Notes:

Access

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Required Software

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Download Macromedia FlashPlayer

Required Hardware

Your computer must have a sound card and speakers (internal or external).

For more information, please call (212) 858-4119 or send us an email.