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 William A. Meserve, Registered Representative, Transamerica Financial Advisors, Inc.
Public Comment Barry Levine, CLU, ChFC, LUTCF
Public Comment Bernie Wilson, CLU, ChFC
Public Comment Bill Burnham, CLU, ChFC, Ridgeland, MS
Public Comment Craig W. Dolan, Federated Mutual Insurance
Public Comment Donald B. Elliott, Northwestern Mutual Financial Network
Public Comment Donald R. Herrmann
Public Comment E. Michael Gillmor, Financial Services Professional, New York Life Insurance Company, Seven Hills, OH
Public Comment Frank Lavin, AXA Advisors, San Francisco, CA
Public Comment Howard Gray, New York Life, Bowling Green, OH
Public Comment Ira Brogin, AXA Advisors, LLC
Public Comment James A. Tollus, ChFC, CLU, CMFC, Sagemark Consulting, Greenville, SC
Public Comment James D. Finneran
Public Comment James L. Culp, FIC, Financial Associate, Thrivent Investment Management Inc., Greenville, South Carolina
Public Comment Javier D. Perez, ChFC, CSA, LUTCF, Tesoro Ins. & Fin. Services
Public Comment Jerry L. Courtney, CLU, ChFC, Northwestern Mutual Financial Network, Burlington, Iowa
Public Comment Jimmy Lee, MML Investors Services, Inc.
Public Comment John Harvey, CSA, Certified Senior Advisor, Malachi Financial Group, Ridgeland, Mississippi
Public Comment Larry J. Winkelhake, CLU, ChFC, Royal Alliance Associates Inc., Milwaukee, Wisconsin
Public Comment Mary L. Hradsky, LUTCF, AXA-Advisors, LLC, Hampstead, Maryland
Public Comment Matthew J. Doke, Agent, New York Life Insurance Company
Public Comment Melody A. Anderson, Financial Representative, Lincoln, Illinois
Public Comment Michael B. Holman, CLU, ChFC, Tacoma, Washington
Public Comment Peirce Ward, Metlife, Charlotte, North Carolina
Public Comment Peter D. Fischel, CLU, Fremont, California
Public Comment Rafael Siero
Public Comment Robert Jenkins, LUTCF, New York Life Insurance Company Agent, Salt Lake City, Utah
Public Comment Roger Whitaker
Public Comment Ron Walrath, ChFC, CLU, CLTC, Thrivent Financial for Lutherans, Lexington, South Carolina
Public Comment Steven M. Weinstein, CFP, Mutual Service Corp.

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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