Rule 2821 Best Practices Explored at Live Teleconference
Overview:
Rule 2821 Amendment No. 4 - August 2007In March 2007, the NASD filed Amendment No. 4 to the proposed NASD Rule 2821 which prescribes sweeping changes in sales practices and supervisory requirements for dealings in deferred variable annuities. The new rule poses a number of changes ;specifically designed to ensure compliance which includes ;specific governing recommendations and training requirements.The Knowledge Congress has assembled panel of distinguished experts to help make these policies clear to the organizations most impacted from a senior legal perspective. The panel will present their findings in a two-hour live teleconference scheduled for August.
Agenda:
Topics
Present status of the rule - amendment no. 4 filed with SEC March 5 2. requirements of rule
* Recommendation requirements
* Customer information
* Principal review and approval
* Supervisory procedures
* Training
*Summary of insurance industry comments and response of NASD
Who Should Attend:
NASD member firms, Broker-dealer Legal Compliance Departments, Insurance companies, Annuity Attorneys, Financial Services Companies, Companies or Persons who Sell Variable Annuities
* Named Alabama
* Has held the position of Director for ASC since 1994; as a result of his leadership the Commission has …
* Director of Annuity Marketing for Westland Financial Services, Inc. and its partner firm Financial Professionals Group. Both firms support …
* General Counsel of National Association for Variable Annuities (NAVA), a proven, highly-effective alliance of leading companies involved in the …
* Founder and President of FrontLine Compliance, LLC (FLC). * Has over 18 years experience in the financial industry; began …
Course Level:
Intermediate
Advance Preparation:
Print and review course materials
Method of Presentation:
On-demand Webcast (CLE)
Prerequisite:
NONE
Course Code:
4535243
Total Credits:
2.0 CLE
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