Securities Division
Matthew J. Neubert - Director
1300 W. Washington St. 3rd Floor
Phoenix, AZ 85007
(602) 542-4242
(866) 837-4399
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Variable Annuities
 
Variable annuities are securities.  Federal law preempts state securities registration requirements with respect to the variable annuity product. The variable annuity is a covered security. But any person who offers or sells variable annuities in or from Arizona must be registered as a dealer or salesman. A.R.S. §§ 44-1843.02(D) and 44-1848(A).
 
For additional information about variable annuities, see: 
  
FINRA Spring 2002 – Reminder—Suitability of Variable Annuity Sales
 

 

The information provided on this web site is not comprehensive, is not offered as legal advice, and is not a substitute for competent legal counsel.  The Securities Division recommends that you consult with a securities attorney.

 

                   

 

 

 

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