Notices Regulatory Notice 10-05FINRA Reminds Firms of Their Responsibilities Under FINRA Rule 2330 for Recommended Purchases or Exchanges of Deferred Variable AnnuitiesThursday, January 21, 2010 Regulatory Notice 09-32SEC Approves Amendments to NASD Rule 2821 Governing Purchases and Exchanges of Deferred Variable AnnuitiesThursday, June 11, 2009 Regulatory Notice 08-39FINRA Requests Comments on Proposed New Rules Governing Communications About Variable Insurance ProductsMonday, July 28, 2008 Regulatory Notice 07-53SEC Approves New NASD Rule 2821 Governing Deferred Variable Annuity TransactionsTuesday, November 06, 2007 Notice to Members 06-38Member Obligations with Respect to the Sale of Existing Variable Life Insurance Policies to Third PartiesWednesday, August 09, 2006 Notice to Members 97-27Application of NASD Conduct Rules to Group Variable Contracts and Other Exempted SecuritiesThursday, May 01, 1997 Notice to Members 99-35The NASD Reminds Members of Their Responsibilities Regarding the Sales of Variable AnnuitiesSaturday, May 01, 1999 Notice to Members 00-44NASD Reminds Members of Their Responsibilities Regarding the Sale of Variable Life InsuranceFriday, June 16, 2000 Notice to Members 04-45NASD 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
