Deferred Variable Annuities

Live Program
November 18, 2009
1:30 p.m. - 2:30 p.m., Eastern Time / 10:30 a.m. - 11:30 a.m., Pacific Time

This webinar focuses on firms’ suitability, compliance and supervisory obligations regarding deferred variable annuity transactions. Panelists from FINRA and the industry highlight requirements of NASD Rule 2821 that are currently effective and amendments to the rule that become effective February 8, 2010, and discuss practical matters for compliance with the existing and new provisions. Audience members can participate in the live, real-time version or listen to the on-demand version at a later date. Questions can be submitted in advance or during the live program.

 

Program Outline

 

  1. Speaker Introductions
    • Larry Kosciulek (Moderator) – Director, FINRA Investment Companies Regulation
    • John Doscher – Vice President, Compliance, Prudential
    • Kathleen Vannoy-Pineda – Executive Vice President, Brokerage Compliance, LPL Financial
    • Jim Wrona – Associate Vice President and Associate General Counsel, FINRA Office of General Counsel
  2. Overview of FINRA’s Deferred Variable Annuities Rule (NASD Rule 2821)
    • Rule requirements
    • Exam program
    • Recent case law
  3. Industry Perspective
    • Establishing a process for complying with Rule 2821
  4. Impact on Registered Representatives
    • Changes in procedures
    • Establishing controls
    • Training
  5. Conclusion

 

Registration Fees

Member

 Non-Member

 $50

 $100

 

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How to Register

 

Registration for this event is now closed. The On-Demand program for Deferred Variable Annuities will be available in approximately two to three weeks from the live program date.

 


If you have questions regarding this webinar, you can visit our Webinars FAQ or email us.

 


FINRA's webinars are the sole property of FINRA and the information provided is for informational and educational purposes only. The content of the webinars does not constitute any FINRA rule or amendment or interpretation to such rules. Compliance with any recommended conduct presented does not mean that a firm or person has complied with the full extent of their obligations under FINRA rules, the rules of any other SRO, or securities laws. Use of this webinar does not create a safe harbor from regulatory responsibility. This webinar is provided "as is". FINRA and its affiliates are not responsible for any human or mechanical errors or omissions. Parties may not reproduce the webinars in any form, nor reference them in any publication, without the express written consent of FINRA.

 

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