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Guerra & Partners


Guerra & Partners Attorney Will Be Presenting The FSI Webinar: Spotlight On Variable Annuity L Shares

On Thursday, September 3, 2015, Rob Jamieson will be presenting the FSI Webinar: Spotlight on Variable Annuity L Shares.

In its 2015 Examination Priorities Letter, FINRA informed its members that it will once again focus on sales practices related to variable annuities. Although this is a perennial focus, FINRA’s latest concerns are related to the recommendation of variable annuity L shares. What are FINRA’s concerns, what are they asking for, and why are they asking it? This webinar will review the characteristics of variable annuity L shares, factors in determining their suitability, considerations for enhancing disclosure to customers, supervisory oversight, and trends in L share related examinations.

Click here to register.