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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 |
