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.

DateTitleFormat - SizeStatus
12/14/2004Text of Proposed Rule ChangePDF - 2.82 MB
5/16/2007Letter to the SEC with Updated InformationPDF - 119.63 KB
8/8/2007Extension No. 1PDF - 19.63 KB
8/13/2007Response to Comments Regarding Captive Broker-DealersPDF - 57.8 KB
9/12/2007Approval OrderPDF - 123.39 KB
9/12/2007Exemption OrderPDF - 58.87 KB
9/19/2007Correction to Approval OrderPDF - 51.86 KB
7/8/2005Amendment No. 1 to Proposed Rule ChangePDF - 269.08 KB
7/21/2005Federal Register NoticePDF - 71.58 KB
8/9/2005Extension of Comment PeriodPDF - 53.03 KB
8/9/2005Amendment No. 2 and Response to Comments Regarding Proposed Rule Change.PDF - 152.72 KB
6/28/2006Notice of Filing of Amendment No. 2PDF - 88.08 KB
8/31/2006Response to CommentsPDF - 343.45 KB
11/15/2006Amendment No. 3 to Proposed Rule ChangePDF - 123.7 KB
3/6/2006Amendment No. 4 to Proposed Rule ChangePDF - 99.26 KB