Gain an understanding of FINRA Rule 2330 and the best practices on how to enforce this rule properly.
It has been a decade since FINRA employed a specific rule with respect to the sale and supervision of variable annuities. In addition to the technical requirements of FINRA Rule 2330, this material will cover suitability considerations and product features FINRA expects representatives and their supervisors to consider in order to comply with the Rule. A review of FINRA's enforcement of Rule 2330 and its predecessor rule, NASD Rule 2821, will be covered to help provide additional guidance when navigating this Rule.
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Why Lorman?
Over 33 years and 1.4 million customers worth of experience providing continuing education. Our passion is providing you world-class training to help you succeed in business and as a professional.
Agenda
History of the Rule
- NASD 2310
- NASD 2821
- FINRA 2330
Suitability
- Recommendations
- Replacements
- Switches
- Surrender Charges
- Riders
- Share Classes
- Focus on Retirees
- IRAs
- Liquidity Issues
Principal Review and Approval
- Suitability
- Deadlines for Transmittal of Application and Premium
Compensation and Conflicts of Interest
Supervisory Procedures
- Written Supervisory Procedures
- Surveillance
- Tools Available
Training Requirements
Enforcement
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Why Lorman?
Over 33 years and 1.4 million customers worth of experience providing continuing education. Our passion is providing you world-class training to help you succeed in business and as a professional.
Credits
OnDemand Course
This course was last revised on April 25, 2018.
Call 1-866-352-9540 for further credit information.
This program does NOT qualify, nor meet the National Standard for NASBA accreditation.
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Why Lorman?
Over 33 years and 1.4 million customers worth of experience providing continuing education. Our passion is providing you world-class training to help you succeed in business and as a professional.
Faculty
Dionne C. Fajardo, Esq.
Wiand Guerra King P.A.
- Shareholder at Wiand Guerra King P.A. in Tampa, Florida
- More than 25 years’ experience in the financial services industry in many capacities including registered representative, registered principal, chief compliance officer, and counsel
- In 2010 she joined Wiand Guerra King and was instrumental in developing its Compliance and Regulatory Consulting Group
- Her practice includes representation of broker-dealers, investment advisors and their associated persons in addressing the compliance challenges they face whether they are regulatory investigations or helping them to develop strategies to implement effective compliance solutions
- Frequent speaker to industry groups covering topics including the Form ADV for investment advisers, the DOL Fiduciary Rule and BIC Exemption, Written Supervisory Procedures, and Variable Annuity L Shares
- Can be contacted at 813-347-5118 or [email protected]
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Why Lorman?
Over 33 years and 1.4 million customers worth of experience providing continuing education. Our passion is providing you world-class training to help you succeed in business and as a professional.
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