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 G. Krach
Public Comment Walter J. Robinson, RHU, CLU, ChFC, LUTCF, CSA, Norwalk, Connecticut
Public Comment Walter J. Scott, Jr., CLU, W. F. Coe & Associates, LLC, Oshkosh, Wisconsin
Public Comment William A. Caplin, CLU, ChFC, Registered Representative, Transamerica Financial Advisors, Inc.
Public Comment Adam R. Stevens, Financial Representative, Northwestern Mutual Financial Network
Public Comment Anita Kennedy, Agency Manager, Eugene, Oregon
Public Comment Anne Graves, CLU, ChFC, REBC, RHU, LUTCF, Fredericksburg, VA
Public Comment Anthony Petsis, CLU, ChFC, Registered Principal, Transamerica Financial Advisors, Inc.
Public Comment Aprilyn Chavez Agency
Public Comment Armand Minasian, CFP, San Francisco, CA
Public Comment Betsy O'Reilly
Public Comment Chad Rogers, Northwestern Mutual Financial Network
Public Comment Courtney L. Livingston, LUTCF, FIC, Thrivent Financial for Lutherans
Public Comment Daniel G. Stockemer, Kansas
Public Comment Gary Zinter
Public Comment George F. Harley, CLU, CFP
Public Comment Georgia H. Ford, CLU, ChFC, MetLife
Public Comment Glen Stevenson
Public Comment James B. Thompson
Public Comment James R. Denny, III
Public Comment Jerry Webb
Public Comment John Power, CPA, Power Financial, LLC
Public Comment Joseph Bynum
Public Comment Michael J. Frailey
Public Comment Nancy A. Griffin
Public Comment Pamela S. Fritz, Chief Compliance Officer; Thaddeus R. Crass, Chief Operations Officer; Robert M. Roth, President, MWA Financial Services Inc.
Public Comment Raymond E. Moore, CLU, ChFC, MSFS, CAP, President, Registered Principal, Moore Financial Services, Richmond, VA 23236
Public Comment Robert Varich
Public Comment Ruby A. Miller, Agent, State Farm Insurance and President, NAIFA-TN (National Association of Insurance & Financial Advisors-Tennessee)
Public Comment Suzie Hilgeman

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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