Notices

Regulatory Notice 10-05
FINRA Reminds Firms of Their Responsibilities Under FINRA Rule 2330 for Recommended Purchases or Exchanges of Deferred Variable Annuities
Thursday, January 21, 2010
Regulatory Notice 09-32
SEC Approves Amendments to NASD Rule 2821 Governing Purchases and Exchanges of Deferred Variable Annuities
Thursday, June 11, 2009
Regulatory Notice 07-53
SEC Approves New NASD Rule 2821 Governing Deferred Variable Annuity Transactions
Tuesday, November 06, 2007
Regulatory Notice 07-36
FINRA Clarifies Guidance Relating to SEC Regulation S-P under Notice to Members 07-06 (Special Considerations When Supervising Recommendations of Newly Associated Registered Representatives to Replace Mutual Funds and Variable Products)
Monday, August 13, 2007
Notice to Members 07-06
Special Considerations When Supervising Recommendations of Newly Associated Registered Representatives to Replace Mutual Funds and Variable Products
Tuesday, February 13, 2007
Notice to Members 06-38
Member Obligations with Respect to the Sale of Existing Variable Life Insurance Policies to Third Parties
Wednesday, August 09, 2006
Notice to Members 04-72
Impermissible Use of Negative Response Letters for the Transfer of Mutual Funds and Variable Annuities (Changes in Broker-Dealer of Record)
Tuesday, October 05, 2004
Notice to Members 97-27
Application of NASD Conduct Rules to Group Variable Contracts and Other Exempted Securities
Thursday, May 01, 1997
Notice to Members 97-48
NASD Regulation Requests Comment on Amendments to Rules Governing Sale and Distribution of Investment Company Shares and Variable Insurance Products;
Friday, August 01, 1997
Notice to Members 96-86
NASD Regulation Reminds Members and Associated Persons That Sales of Variable Contracts are Subject to NASD Suitability Requirements
Sunday, December 01, 1996
Notice to Members 99-35
The NASD Reminds Members of Their Responsibilities Regarding the Sales of Variable Annuities
Saturday, May 01, 1999
Notice to Members 99-103
SEC Approves Rule Change Relating to Sales Charges for Investment Companies and Variable Contracts; Effective Date:
Friday, December 10, 1999
Notice to Members 99-55
Questions and Answers Relating to Non-Cash Compensation Rules
Thursday, July 01, 1999
Notice to Members 98-75
SEC Approves Rule Change Relating to Non-Cash Compensation for Mutual Funds and Variable Products
Tuesday, September 01, 1998
Notice to Members 00-44
NASD Reminds Members of Their Responsibilities Regarding the Sale of Variable Life Insurance
Friday, June 16, 2000
Notice to Members 04-45
NASD Seeks Comment on Proposed Rule to Impose Specific Sales Practice Standards and Supervisory Requirements on Members for Transactions in Deferred Variable Annuities;
Wednesday, June 09, 2004