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 C. Wilkins
Public Comment Daniel L. Lofrese
Public Comment David M. Dinn
Public Comment Elaine
Public Comment J. Kreifel
Public Comment James R. Lester
Public Comment Joe Allbright
Public Comment Mary-Jo Iacovino
Public Comment Rick
Public Comment Laurence S. Schultz, Driggers, Schultz & Herbst, P.C., Troy, Michigan
Public Comment Keith J. Wolff, CFP, Vernon, Connecticut
Public Comment William M. Hancock, CLU, Transamerica Financial Advisors
Public Comment M. L. Vincent, Jr., Registered Representative, Transamerica Financial Advisors, Inc., Lake Charles, Louisiana
Public Comment Patricia Struck, President, North American Securities Administrators Association and Administrator, Wisconsin Secuities Division, Washington, District of Columbia
Public Comment Al Villasenor, Unisure Insurance Services Inc., Torrance, California
Public Comment Anonymous
Public Comment Ashli Shackelford Wheaton, Transamerica Financial Advisors, Inc.
Public Comment Kerry Cunningham, Head of Risk Management, ING Advisors Network, El Segundo, California
Public Comment Robert S. Banks, Jr., President, Public Investors Arbitration Bar Association, Portland, Oregon
Public Comment Teresa L. Luiz, Greenwood Village, Colorado
Public Comment Ari Burstein, Associate Counsel, Investment Company Institute
Public Comment Austin Kanter
Public Comment Carl B. Wilkerson, Vice President & Chief Counsel, Securities & Litigation, American Council of Life Insurers
Public Comment Clyde R. Martinez, Agent, New York Life Insurance Company, Albuquerque, New Mexico
Public Comment Curtis A. Knauss
Public Comment Dale E. Brown, CAE, Executive Director & CEO, Financial Services Institute
Public Comment Darrell N. Braman, Vice President and Associate Legal Counsel, and Sarah McCafferty, Vice President and Associate Legal Counsel, T. Rowe Price Associates, Inc.
Public Comment Edward C. Hiers, President, Northeast Planning Associates, Inc., Bedford, NH
Public Comment Gary A. Sanders, Senior Counsel, Law and Government Relations, National Association of Insurance and Financial Advisors and Thomas F. Korb, Vice President of Policy and Public Affairs, Association for Advanced Life Underwriting
Public Comment Gary M. Gillan

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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