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Arizona Corporation Commission

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Securities Division
Matthew J. Neubert - Director
1300 W. Washington St. 3^rd Floor
Phoenix, AZ 85007
(602) 542-4242
(866) 837-4399

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Good To Know

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 Variable Annuities: Exchange Suitability Issues

FINRA Spring 2002 – Reminder—Suitability of Variable Annuity Sales

SEC – Variable Annuities: What You Should Know

Arizona Securities Act, Title 44, Chapter 12

Securities Rules

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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