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 M. Shawn Dreffein, President and CEO, National Planning Holdings, Inc.
Public Comment Rosemary J. Shockman, President, Public Investors Arbitration Bar Association
Public Comment Lawrence S. York, Interactive Planning Corp.
Public Comment Leesa M. Easley, Chief Legal Officer, World Group Securities, Inc.
Public Comment Scott T. Leverenz, CRPC, The Financial Resource Group, Cambridge Investment Research
Public Comment Lon E. Pishny
Public Comment Brian R. Carlton, CFP, NAPFA Registered Financial Advisor, Huff, Stuart & Carlton, Investment and Wealth Management Fee-Only
Public Comment Ken Butterfield
Public Comment Kenneth Schueler, President and Compliance officer of an NASD member B/D
Public Comment Joshua M. Satzer
Public Comment Michael J. Mungenast, President, ProEquities, Inc.
Public Comment Ann Marie Albertine, Bethesda, Maryland
Public Comment Ann L. Ainsworth, Vice President, McFarland Associates, Watsonville, California
Public Comment Carolyn Bravakis, WinsorLocks, Connecticut
Public Comment Kenneth M. Cherrier, JD, FLMI, AIRC, AIAA, ACS, Chief Compliance Officer, Fintegra Financial Solutions
Public Comment Melody Juge, Milwuakee, Wisconsin
Public Comment Kevin Ivey, Houston, Texas
Public Comment Larry Winkelhake, Asheville, North Carolina
Public Comment Lauren Peterson, Newport Beach, California
Public Comment Louis J. Macloskey, CFP, West Palm Beach, Florida
Public Comment Raymond O. Streu, CFP, Board Chairman, Asset Planning Group, Inc., Amarillo, Texas
Public Comment Robert H. FitzSimmons
Public Comment Van G. Booth, CLU, CFP, Factoryville, Pennsylvania
Public Comment Ben C. Kauffman
Public Comment D. Gregory Baker, Southfield, Michigan
Public Comment David N. Chick, Branch Manager, Associated Securities Corp.
Public Comment Donald B. Baker, Southfield, Michigan
Public Comment Donna M. Wolf, CFP, Mequon, Wisconsin
Public Comment Douglas Shoemaker, San Diego, California
Public Comment Elena M. Ling, CLU, ChFC, CSA, Diamond Bar, California

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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