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 Ira D. Hammerman, General Counsel, Securities Industry Association
Public Comment Jack R. Ford
Public Comment Jill I. Gross, Esquire, Pace Investor Rights Project, White Plains, New York
Public Comment Joan Hinchman, Executive Director, President and CEO, The National Society of Compliance Professionals, Inc.
Public Comment Joe Lukowski, Chief Compliance Officer, Waterstone Financial Group, Itasca, Illinois
Public Comment Joel R. Swinehart, National Financial Alliance
Public Comment Kevin A Govero, CLU
Public Comment M. Shawn Dreffein, President and CEO, National Planning Holdings, Inc., National Planning Corporation
Public Comment Michael P. DeGeorge, General Counsel, National Association for Variable Annunities
Public Comment Perry D. Nocifora, CFP, CRFA, Wealth Management Services, Inc., Garden Grove, CA 92841-4173
Public Comment Peter K. Vonk, SVP/CCO, CUSO Financial Services, L.P.
Public Comment Phillip Hinds, Registered Representative, Transamerica Financial Advisors, Inc.
Public Comment Rick Dahl, CCO, Sorrento Pacific Financial, LLC
Public Comment Robert S. Jones, Jr., ChFC, CLU, Chairman, AXA Advisors, LLC
Public Comment Shawn M. Mihal, Chief Compliance Officer, Great American Advisors, Inc.
Public Comment Stephen A. Batman, CEO 1st Global Capital Corp.
Public Comment Steve Summerlin, President, CERTIFIED FINANCIAL PLANNERTM, Summerlin Financial Advisors, Inc., Gainesville, Florida
Public Comment Timothy J. Lyle, Senior Vice President and Chief Compliance Officer , Contemporary Financial Solutions
Public Comment Timothy J. Lyle, Senior Vice President and Chief Compliance Officer , Mutual Service Corporation
Public Comment W. Burk Rosenthal, CFS, President, Rosenthal Retirement Planning, LP, Registered Principal, Securities America, Inc.
Public Comment W. Thomas Conner and Eric A. Arnold, Committee of Annunity Insurers, Sutherland Asbill & Brennan LLP on behalf of Committee of Annuity Insurers
Public Comment Dave Spellman, President, Pratt Financial Group, Inc., Westbrook, Maine
Public Comment Gary T. Wolff, CLU, ChFC, Vernon, Connecticut
Public Comment Gregory S. Wolff, Certified Financial Planner, Wolff-Zackin Financial, LLC, Vernon, Connecticut
Public Comment James Biasotti, Advantage Wealth Advisors, Los Angeles, California
Public Comment Leonard Viscito, CPA, J.D., Registered Representative, Mutual Service Corporation
Public Comment Robert E. Baxter, III, CLU, ChFC; R.E. Baxter & Associates, Inc.
Public Comment Roger Erickson, National Committeeman, NAIFA--Blue Valley Nebraska
Public Comment Steven C. Arndt, Registered Representative
Public Comment Thomas J. Wolff, Chartered Financial Consultant, Vernon, Connecticut

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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