Regulation
SR-NASD-2004-183
Proposed New Rule 2821 Regarding Transactions in Deferred Variable Annuities
NASD is filing with the Securities and Exchange Commission (“SEC” or “Commission”) a proposed rule change to create a new rule, proposed NASD Rule 2821, that includes recommendation requirements (including a suitability obligation), principal review and approval requirements, and supervisory and training requirements tailored specifically to transactions in deferred variable annuities.
| Text of Proposed Rule Change | (PDF 2,879 KB) |
| Amendment No. 1 to Proposed Rule Change | (PDF 270 KB) |
| Federal Register Notice | (PDF 72 KB) |
| Extension of Comment Period | (PDF 54 KB) |
| Amendment No. 2 and Response to Comments Regarding Proposed Rule Change. | (PDF 152 KB) |
| Notice of Filing of Amendment No. 2 | (PDF 89 KB) |
| Response to Comments | (PDF 344 KB) |
| Amendment No. 3 to Proposed Rule Change | (PDF 124 KB) |
| Amendment No. 4 to Proposed Rule Change | (PDF 100 KB) |
| Letter to the SEC with Updated Information | (PDF 120 KB) |
| Extension No. 1 | (PDF 20 KB) |
| Response to Comments Regarding Captive Broker-Dealers | (PDF 58 KB) |
| Approval Order | (PDF 145 KB) |
| Exemption Order | (PDF 34 KB) |
| Correction to Approval Order | (PDF 53 KB) |