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 A. Haunty, CFP, RHU, REBC, ChFC, Senior Partner, North Star Resource Group
Public Comment John & Kathi Meo, CFP, Registered Principal, LPL Financial Services
Public Comment Scott E. Bordelon, CFP, AAMS, President, Financial & Investment Management Advisors, Inc., Covington, Louisiana
Public Comment Jed E. Bandes, CFP, ChFC, CLU, Clearwater, Florida
Public Comment Lynn M. Vance, Mutual Service Corp.
Public Comment Michael J. Mungenast, President, ProEquities, Inc.
Public Comment Charles B. Milligan III, Chief Compliance Officer, Vice President of Operations, Cambria Capital, LLC, Salt Lake City, Utah
Public Comment Gale Johnston, CFP, Financial Advisor, Los Angeles, California
Public Comment Peter W. Sullivan, ING Financial Partners, Sullivan Financial Group
Public Comment Ron A. Rhoades, B.S., J.D., CFP, Hernando, Florida
Public Comment D. Max Bruce, DM Bruce Associates, Overland Park, Kansas
Public Comment Bobby Glass, CLU, ChFC, CFP, MSFS, Registered Principal, Acorn Financial Services, Fairfax, Virginia
Public Comment Gerald W. Hall, Branch Manager/Financial Advisor, Raymond James Financial Services, Inc., Fredonia, New York
Public Comment Heather L. Shick, Investment Adviser Representative, Woodbury Financial Services, Inc., Lakeport, California
Public Comment Michael J. Lavery, Investment Planners Inc., Quincy, Illinois
Public Comment Rhonda Matthews, Raymond James Financial Services
Public Comment Allen M. Kamemoto, Registered Representative, Transamerica Financial Advisors, Honolulu, Hawaii
Public Comment Dennis T. Higuchi, Registered Principal, Transamerica Financial Advisors, Honolulu, Hawaii
Public Comment Miles M. Ono, Registered Representative, Transamerica Financial Advisors, Honolulu, Hawaii
Public Comment Dennis T. Higuchi, Registered Principal, Transamerica Financial Advisors, Honolulu, Hawaii
Public Comment Carl B. Wilkerson, Vice President & Chief Counsel, Securities & Litigation, ACLI
Public Comment Robert L. D. Colby, Acting Director, and Catherine McGuire, Chief Counsel, Sutherland, Asbill & Brennan LLP, on behalf of the Committee of Annuity Insurers
Public Comment David O. Spinar, Vice President and Chief Compliance Officer, Securities America, Inc.
Public Comment Patricia D. Struck, President and Wisconsin Securities Administrator, North American Securities Administrators, Inc.
Public Comment Roger C. Ochs, President, H.D. Vest Investment Services
Public Comment Thomas M. Yacovino, Vice President, A.G. Edwards & Sons, Inc.
Public Comment Barbara Black, Director, Pace Investor Rights Project, Pace University School of Law, White Plains, New York
Public Comment Beth L. Climo, Executive Director, ABA Securities Association and American Bankers Insurance Association
Public Comment Carl B. Wilkerson, Vice President & Chief Counsel, Securities & Litigation, American Council of Life Insurers
Public Comment Dale E. Brown, CAE, Executive Director & CEO, Financial Services Institute

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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