Coleman Law Securities Attorney-Lawyer Florida

Variable Annuities

Notice to Members and Guidance

  • 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; Comment Period Expires August 9, 2004 (Notice posted on 06/09/04
  • Member Alert
    NASD Reminds Members of Their Responsibilities Regarding Hypothetical Tax-Deferral Illustrations in Variable Annuity Communications
  • Notice to Members 00-44
    The NASD Reminds Members of Their Responsibilities Regarding The Sale of Variable Life Insurance (Notice posted on 06/16/00
  • Notice to Members 99-35
    The NASD Reminds Members of Their Responsibilities Regarding the Sales of Variable Annuities (Notice posted 05/99)
  • Notice to Members 96-86
    NASD Regulation Reminds Members and Associated Persons that Sales of Variable Contracts are Subject to NASD Suitability Requirements (Notice posted 12/96)

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