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Comments on FINRA Rulemaking

Notice of Filing of Proposed Rule Change Relating to Sales Practice Standards and Supervisory Requirements for Transactions in Deferred Variable Annuities

(Release No. 34-57920; File No. SR-FINRA-2008-019)


Dec. 19, 2008 Sutherland Asbill & Brennan LLP, on behalf of the Committee of Annuity Insurers
Nov. 12, 2008 Jim S. Wrona, FINRA, Washington, District of Columbia
Aug. 20, 2008 Carl B. Wilkerson, Vice President & Chief Counsel, American Council of Life Insurers
Jul. 2, 2008 Neal E. Nakagiri, President, CEO, CCO, NPB Financial Group, LLC, Burbank, California
Jul. 1, 2008 Michael P. DeGeorge, General Counsel, NAVA, Inc.
Jul. 1, 2008 Cheryl Tobin, Asst. Vice President Counsel, Pacific Life Insurance Company, Newport Beach, California
Jul. 1, 2008 Clifford Kirsch, Sutherland Asbill & Brennan LLP, on behalf of the Committee of Annuity Insurers
Jul. 1, 2008 Heather Traeger, Assistant Counsel, Investment Company Institute
Jul. 1, 2008 Dale E. Brown, President and CEO, Financial Services Institute
Jul. 1, 2008 William A. Jacobson, Associate Clinical Professor, Cornell Law School, and Director, Cornell Securities Law Clinic, Ithaca, New York
Jun. 30, 2008 Heidi Stam, Managing Director and General Counsel, Vanguard
Jun. 30, 2008 Teresa Luiz, Greenwood Village, Colorado
Jun. 30, 2008 Theodore Tsung, Financial Services Software Innovator Founder of digiTRADE and EAssist, New York, New York
Jun. 26, 2008 Laurence S. Schultz, President, Public Investors Arbitration Bar Association
Jun. 23, 2008 Darrell Braman, Vice President and Associate Legal Counsel and Sarah McCafferty, Vice President and Chief Compliance Officer, T. Rowe Price Investment Services, Inc.
Jun. 11, 2008 Deborah Peters, Director, Broker Dealer Compliance, EquiTrust Marketing Services, LLC

 

 

 

http://www.sec.gov/comments/sr-finra-2008-019/finra2008019.shtml

Modified: 12/29/2008