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.
– You will be able to review the history of Rule 2330.
– You will be able to discuss principal review and approval.
– You will be able to describe compensation and conflicts of interest.
– You will be able to explain supervisory procedures.
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