FINRA Webcast

Variable Annuities: Requirements for Representatives

Registered Representatives' responsibilities when recommending variable annuities are the focus of this webcast for frontline staff. At just under nine minutes in length, the program presents rule requirements and best practices around this issue, and then reinforces them with a scenario.

 

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This webcast is also available as a SCORM compliant e-learning video course with optional assessment testing, completion tracking and certificates of completion.

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


 

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For firms that use FINRA webcasts for training purposes, please be aware that FINRA now offers webcast tracking through the Report Center.

 

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Important Viewing Notes:

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