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

Filter comments

Date Received
Date Letter Type Commenter Name
Public Comment Deirdre B. Koerick, Vice President, Lincoln Investment Planning, Inc.
Public Comment Denise M. Evans, Esq., SR VP, General Counsel, Associated Securities Corp., Los Angeles, California
Public Comment Frances M. Stadler Deputy Senior Counsel, Investment Company Institute
Public Comment Gary A. Sanders, Senior Counsel, Law and Government Relations, National Association of Insurance and Financial Advisors and Thomas F. Korb, Director of Government Affairs, Association for Advanced Life Underwriting
Public Comment Henry H. Hopkins, Darrell N. Braman and Sara McCafferty, T. Rowe Price Investment Services, Inc., Baltimore, Maryland
Public Comment Ira D. Hammerman, Senior Vice President and General Counsel, Securities Industry Association
Public Comment Jennifer B. Sheehan, Assistant Vice President & Counsel, Massachusetts Mutual Life Insurance Company
Public Comment John R. Meyer, Senior Vice President, New York Life Insurance and Annuity Corporation and Gerard Rocchi, Chairman & CEO, Nylife Securities, Inc.
Public Comment John S. Simmers, CEO, ING Advisors Network
Public Comment Julie Gebert, Vice President and Chief Compliance Officer, United Planners' Financial Services of America
Public Comment Lance A. Reihl, President, 1717 Capital Management Company and Nationwide Securities, Inc.
Public Comment Michael P. DeGeorge, General Counsel, NAVA
Public Comment Richard V. Silver, Executive Vice President and General Counsel, AXA Advisors, LLC
Public Comment Ronald C. Long, Senior Vice President, Regulatory Policy and Administration and Ryan P. Smith, Regulatory and EDR Attorney, Wachovia Securities, LLC
Public Comment Shawn M. Mihal, Chief Compliance Officer, Great American Advisors, Inc.
Public Comment Stephen A. Batman, CEO, 1st Global Capital Corp., Dallas, Texas
Public Comment Timothy J. Lyle, Senior Vice President and CCO, Mutual Service Corporation
Public Comment W. Thomas Conner and Eric A. Arnold, Sutherland Asbill & Brennan LLP, on behalf of the Committee of Annuity Insurers
Public Comment Craig Junkins, President and Chief Executive Officer, FFP Securities, Inc.
Public Comment Daniel A. Riedl, Senior Vice President and Chief Operating Officer, Northwestern Mutual Investment Services, LLC
Public Comment David D. Brown, IV, Bureau Chief, Investment Protection Bureau, State Of New York Office of the Attorney General
Public Comment Donald J. Walters, Deputy Director, General Counsel & Secretary, Insurance Marketplace Standards Association
Public Comment John L. Dixon, President, Pacific Select Distributors, Inc.
Public Comment Stephen F. Anderson, CLU ChFC CFP, President, Waterstone Financial Group
Public Comment Thomas R. Moriarty, President, InterSecurities, Inc.
Public Comment William W. Reid, Jr., President/CEO, ICBA Financial Services Corporation
Public Comment Susan A. McCraine, CCO, Investors Capital Corporation
Public Comment Michael W. Bourgault, J.D., CLU, Jefferson Pilot Securities Corporation
Public Comment Charles E. Woodson, EA, PFP, Horizon Planning
Public Comment M. Kevin P. Takacs, CCO DOMI/DFA, Dominion Investor Services, Inc.

Last Reviewed or Updated: Dec. 18, 2025

File Number
SR-NASD-2004-183
Release Number
34-56375A
34-52046A
34-54023
How to submit comments