About This Course
This CLE program covers suitability and supervision considerations for variable annuities. Industry panelists discuss monitoring, use of exception reports and effective practices for training registered representatives on variable annuities. FINRA staff highlights areas of focus for examiners and recent examination deficiencies related to the sale of variable annuities.
After attending this session, you will be able to:
- Understand suitability considerations relating to the sale of variable annuities.
- Implement effective practices related to the supervision of variable annuities.
- Implement effective training of registered representatives and principals on variable annuities.
- Summarize the areas of focus on examinations of variable annuities and examination deficiencies.
FINRA® is a registered trademark of the Financial Industry Regulatory Authority, Inc.