Comments on NASD Rulemaking

Notice of Filing of Amendment Nos. 1, 2, 3 and 4 and Order Granting Accelerated Approval of the Proposed Rule, as Amended, Related to Sales Practice Standards and Supervisory Requirements for Transactions in Variable Annuities

Comments have been received from individuals and entities using a variety of Letter Types:

Comment
A: 1,433
B: 1,594
C: 5
D: 2
E: 48
F: 4
G: 43
H: 71

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Date Received
Date Letter Type Commenter Name
Public Comment Donald S. Davidson, Bingham McCutchen LLP
Public Comment John S. Watts, SVP/ Chief Counsel, PFS Investments Inc.
Public Comment Sutherland Asbill & Brennan LLP, on behalf of the Committee of Annuity Insurers
Public Comment Jill I. Gross and Barbara Black, Pace Investor Rights Clinic, White Plains, New York
Public Comment James S. Wrona, Associate Vice President and Associate General Counsel, FINRA, Washington, District of Columbia
Public Comment Eric A. Arnold and Clifford E. Kirsch, Sutherland Asbill & Brennan LLP
Public Comment James S. Wrona, Associate Vice President and Associate General Counsel, NASD
Public Comment Dale E. Brown, CAE, Executive Director & CEO, Financial Services Institute
Public Comment Jeffrey M. Auld, President, Berthel Fisher & Company
Public Comment Lawrence M. Tomczak, Agency Investment Specialist, MassMutual Financial Group
Public Comment Victoria Bach-Fink, President, Wall Street Financial Group, Inc.
Public Comment Clifford E. Kirsch, Sutherland, Asbill & Brennan, LLP, on behalf of the Committee of Annuity Insurers
Public Comment Michael Calabrese, Arnold, Maryland
Public Comment Dale E. Brown, CAE, Executive Director & CEO, Financial Services Institute
Public Comment Sheryl Johnson, Registered Principal, Raymond James Financial, El Dorado Hills, California
Public Comment Victoria Bach-Fink, Wall Street Financial Group
Public Comment Connie Jensen, President, Jensen Money Management
Public Comment Pam Fritz, Chief Compliance Officer, MWA Financial Services
Public Comment Steven Seward, Financial Planner, Cambridge Investment Research
Public Comment Charlotte Hartmann-Hansen, President, Hartmann-Hansen Financial Services
Public Comment David Demming, CFP/principal, Demming Financial Services Corp
Public Comment Clinton Howard, Registered Principal, Jefferson Pilot Securities Corp.
Public Comment Donald Kohnstamm, President, Desmon & Kohnstamm, Inc.
Public Comment Mark S. Rushwald, CFP
Public Comment Mark Stevens, CFP, ChFC, Bi-Focus Financial, Inc.
Public Comment Penn Rettig, Registered Principal, Multi Financial Securities Corp
Public Comment Anthony Zambri, Equity Services, Inc.
Public Comment Christopher Anderson, Financial Consultant, ING Financial Partners
Public Comment Elinos Whitlock, President, Whitlock WealthCare, Inc.
Public Comment James Sowell, Owner, $olutions

Last Reviewed or Updated: Dec. 18, 2025

File Number
SR-NASD-2004-183
Release Number
34-56375A
34-52046A
34-54023
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