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 Marc M. Friedland, MBA, CLU, ChFC, AEP
Public Comment Mary Ann Wagner
Public Comment Mitch Sproul
Public Comment Nicholas Hamp CLU, ChFC
Public Comment Rick Dworsky, CLU
Public Comment Ronald S. Coody, CLU
Public Comment Scott Dittmer
Public Comment Sheron Dinnel
Public Comment Susan Ebbert Wambaugh, The Giles Financial Group
Public Comment Wayne L. Warren, CLU, ChFC, MSFS
Public Comment Michael J. Vitalbo, Pittsburgh, Pennsylvania
Public Comment Michael Laine, CFP
Public Comment Michael P. DeGeorge, General Counsel, National Association for Variable Annuities
Public Comment Mitch Silberman, Westlake Village, California
Public Comment Steven P. Grager, Chairman, The Financial Planning Association of The East Bay, Danville, California
Public Comment Marcia L.Martin, Cambridge Investment Research, Inc.
Public Comment Terence W. O'Doherty, Vancouver, Washington
Public Comment Dennis J. Rogers, Rogers & Kirby
Public Comment Glen J. Lutz, CFP, Eugene, Oregon
Public Comment Randy Nicholls, Federal Way, Washington
Public Comment Carl. B. Wilkerson, Vice President and Chief Counsel, Securities & Litigation, American Council of Life Insurers

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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