VAST Program for Rule 2330 Compliance

Through the VAST program (for Variable Annuity Supervision/Suitability & Training) FrontLine Compliance offers a package of customized procedures, training and recommendations to assist firms in complying with FINRA's Rule 2330 (formerly NASD Rule 2821). Customized for each client's business model, VAST provides a comprehensive and practical approach to addressing the requirements of Rule 2330.

Key components of the VAST services are:

• Supervison policies and procedures to address sales and suitability requirements
• Principal review and approval guidance to meet the standards of this section of the Rule
• Written policies and procedures as mandated by the Rule
• Training on the requirements of the Rule and features of variable annuities
• Advising on technology applications

Please complete this form and submit to learn more about FrontLine's VAST program.

First Name:  * Firm Name:  * Last Name:  * Firm Address 1:  * Title:  * Firm Address 2:      Email Address:  * City State Zip:  *     Phone Number:  *     Phone Number 2:

Firm Type: * (check all that apply)  Registered Broker-Dealer Firm Size: * $100 to $500 million Registered Investment Adviser $500 million to $1 billion   Dual Registrant   $1 billion to $10 billion   Insurance Company Affiliate   Over $10 billion   Investment Company   None of the above   Type of Products Sold: * (check all that apply)  Variable Annuities     Variable Life     Equity Indexed Annuities       Fixed Annuities

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