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Suitability guidelines

Why is suitability important? Because we want to be sure that the products recommended to our clients will serve them well. And we're not alone. The Securities and Exchange Commission (SEC), Financial Industry Regulatory Authority (FINRA) and state insurance departments regulate the sale and exchange of annuities. They require financial professionals, broker-dealers and insurance companies to ensure that sales are suitable for their customers.

In an effort to make it easier for you to collect required suitability information from clients, and ultimately streamline the new business process, we’ve created a Frequently Asked Suitability Questions advisor guide – RF2155 (PDF). It walks you through the suitability process to help you understand what the Home Office looks for when determining if a case is suitable for a client.

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