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 John Reigelman, Penfield, New York
Public Comment Stephen N. Mathieu, CFP, CLU, ChFC, RHU
Public Comment Victoria Bach-Fink, Wall Street Financial Group
Public Comment Carsten Falkenberg, Crown Point, Indiana
Public Comment Charles Beard, Carmel, Indiana
Public Comment Daniel R. Gehl, Intersecurities, Inc.
Public Comment David H. Davis , CLU, ChFC, CSA, Financial Advisor, Chattanooga, Tennessee
Public Comment Denise M. Roth
Public Comment George Slusher, Floyd, Virginia
Public Comment Larry D. Newman, Sammons Securities Co.
Public Comment Mark A. Reinert, CFP, Topeka, Kansas
Public Comment Paul Howard Rhodes, Maysville, Missouri
Public Comment Peter D. Fischel, CLU, Fremont, California
Public Comment Arthur Sobczak, Strongsville, Ohio
Public Comment K. C. Lam, Memphis, Tennessee
Public Comment Lee Russell, The Woodlands, Texas
Public Comment S. Mark Weeks, SLC, Utah
Public Comment Susan L. Coates
Public Comment Armand Batocabe
Public Comment B. Michael Muirhead
Public Comment Deborah Castiglioni, CEO, Cutter & Company, Inc.
Public Comment Ed Hilston, Merrimack, New Hampshire
Public Comment Edward C. Prescott, CLU
Public Comment Eric H. Arman
Public Comment Frank Luczak, Letcher, South Dakota
Public Comment James L. Yost CLU, ChFC
Public Comment John Dardis, Metairie, Louisiana
Public Comment John David Boyd, LUTCF
Public Comment Kathie H. Okun, Pikesville, Maryland
Public Comment Ken Smith

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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