FINRA Webcast

Variable Annuities: Requirements for Supervisors

This webcast discusses considerations for supervising recommendations of deferred variable annuity transactions. At just over eight 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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