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.
| Title | Format - Size | Status |
|---|---|---|
| Text of Proposed Rule Change | PDF - 2.82 MB | |
| Amendment No. 1 to Proposed Rule Change | PDF - 269.08 KB | |
| Federal Register Notice | PDF - 71.58 KB | |
| Extension of Comment Period | PDF - 53.03 KB | |
| Amendment No. 2 and Response to Comments Regarding Proposed Rule Change. | PDF - 152.72 KB | |
| Notice of Filing of Amendment No. 2 | PDF - 88.08 KB | |
| Response to Comments | PDF - 343.45 KB | |
| Amendment No. 3 to Proposed Rule Change | PDF - 123.7 KB | |
| Amendment No. 4 to Proposed Rule Change | PDF - 99.26 KB | |
| Letter to the SEC with Updated Information | PDF - 119.63 KB | |
| Extension No. 1 | PDF - 19.63 KB | |
| Response to Comments Regarding Captive Broker-Dealers | PDF - 57.8 KB | |
| Approval Order | PDF - 123.39 KB | |
| Exemption Order | PDF - 58.87 KB | |
| Correction to Approval Order | PDF - 51.86 KB |