Monday, January 21, 2008
FINRA Rule 2821 Training Requirement Set to go into Effect on May 5, 2008
Despite the recent SEC ruling, which delayed paragraph (c) of FINRA Rule 2821 from going into effect until August 4, 2008, registered representatives and supervisors must begin to comply with training requirements on May 5, 2008.
Rule 2821, also called the Variable Annuity Rule, requires organizations to train their registered representatives on deferred variable annuities. Both firms and agents must understand the requirements of the new rule and establish a schedule for compliance training. They must also have a record-keeping system in place...
PR Urgent: FINRA Rule 2821 Training Requirement Set to go into Effect on May 5, 2008
Rule 2821, also called the Variable Annuity Rule, requires organizations to train their registered representatives on deferred variable annuities. Both firms and agents must understand the requirements of the new rule and establish a schedule for compliance training. They must also have a record-keeping system in place...
PR Urgent: FINRA Rule 2821 Training Requirement Set to go into Effect on May 5, 2008
Permalink posted by markw @ 4:41 AM 
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