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 Thomas R. Moriarty, Co-President, InterSecurities, Inc.
Public Comment Gregory A. Wittland, CFP, Quincy, Illinois
Public Comment Joseph F. Brinker, Registered Representative, Transamerica Financial Advisors, Inc.
Public Comment Kurt A. Kechely, CLU, ChFC, Daubert & Butler Associates
Public Comment Mark J. Napolin, CLU, ChFC, Managing Principal, Transamerica Financial Advisors, Inc.
Public Comment Nathan M. Kosman, VP, The Rosselot Financial Group Inc., Cincinnati OH
Public Comment Norman H. Cathell Jr.
Public Comment Peter T. Lotzer, CLU, ChFC, Registered Representative, ING Financial Partners
Public Comment Porter T. Talbot, RFP, ChFC, CLU
Public Comment W. Greg Barney, CLU, ChFC, Investment Advisor Representative, Transamerica Financial Advisors, Inc.
Public Comment Dan HeiRonimus
Public Comment Gary H. Miyashiro, Registered Representative, Transamerica Financial Advisors
Public Comment Neil Lubarsky, White Plains, N.Y.
Public Comment Bob FitzSimmons, CFP, Lincoln, Nebraska
Public Comment Catherine Latto, CFP, President, Latto & Associates, Inc.
Public Comment Chris A. Hipple, Registered Representative, Transamerica Financial Advisors, Inc.
Public Comment Christopher Shaw, Vice President, Licensing & Compliance Administration, Transamerica Financial Advisors, Inc.
Public Comment Cory Anderson, Town and Country Insurance Agency, Finlayson, Minnesota
Public Comment Dinesh Patel
Public Comment Harriet A. Veenker, Registered Representative, Transamerica Financial Advisors, Inc.
Public Comment Jady Hoffner, Registered Representative
Public Comment James Owen Davidson, Central Financial Services
Public Comment Jerry O'Reilly, Royal Alliance Associates, Inc.
Public Comment John H. Kaight, Transamerica Financial Advisors, Inc.
Public Comment John Kloempken, JD, MBA, Registered Representative, Chicago North Financial Group, Itasca, Illinois
Public Comment Lawrence Lester, Financial Consultant, AXA Advisors, New York City, New York
Public Comment Matt Muccigrosso, Princor Financial Services Corporation
Public Comment Mitchell F. Keil, CFP
Public Comment S.D. Khalsa, MS, CSA, ChFC, Financial Advisor, Hudson, Ohio
Public Comment Timothy G. Carnago, Hutchins Brokerage/Greaves Agency, Transamerica Financial Advisors, Ormond Beach, Florida

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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