2011 News

12.15.11	Committee Comment Letter Filed with FIO
11.9.11	Committee Comment Letter on IRS Notice 2011-68
04.11.11	Committee Comment Letter on 81-100 Group Trusts
02.03.11	Committee Comment Letter on the Definition of Fiduciary

2010 News

12.27.10	Committee Comment Letter on FINRA Disclosure Statement Proposal
12.03.10	Committee Comment Letter on the Definition of "Swap"
11.30.10	Update on FINRA Rule Initiatives
11.23.10	Comment Letter on FINRA Books and Records Rule Proposals
11.05.10	Committee Comment Letter on SEC's Mutual Fund Distribution Fee and Confirmation Proposals
09.10.10	Committee Comment Letter on FINRA Suitability/Know Your Customer Proposal
08.30.10	Committee Comment Letter on SEC Study on Obligations of Brokers, Dealers, and Investment Advisers
08.30.10	Committee Comment Letter on FINRA Proposal on Reporting Requirements
07.30.10	Committee Comment Letter on Registration and Qualification Requirements for Certain Operations Personnel
05.05.10	Committee Comment Letter on Proposed DOL Investment Advice Rule
05.03.10	Committee Comment Letter on Use of Annuities in DC Plans
03.30.10	Update on FINRA Rulebook Consolidation
03.05.10	Committee Comment Letter - RN 10-01 (Membership Application Proceedings)
03.02.10	Committee Comment Letter - RN 09-70 (Registration and Qualification Requirements)
02.22.10	Committee Comment Letter - RN 09-69 (Payments to Unregistered Persons)

2009 News

12.30.09	Committee Comment Letter - FINRA Rule 2211 (FINRA Variable Product Advertising Rule Proposal)
11.20.09	Committee Comment Letter - RN 09-55 (Proposed New Rules Governing Communications with the Public)
10.13.09	Committee Comment Letter- Customer Confirmations
09.17.09	Press Release Regarding 2009 Gallup Report
09.17.09	2009 Gallup Report Fact Sheet
09.16.09	2009 Gallup Survey of Owners of Non-Qualified Annuity Contracts
08.20.09	Memorandum on Private Separate Account Reporting Filed with Treasury Department
07.10.09	2009 Update to 2008 E&Y Retirement Vulnerability Report
06.29.09	Comment Letter Filed with FINRA Regarding Proposed Consolidated FINRA Rules Governing Suitability and Know-Your-Customer Obligations
06.11.09	Comment Letter Filed with the SEC Regarding Proposed Rule Change to Adopt FINRA Rule 2231 (Customer Account Statements) in the Consolidated FINRA Rulebook
06.05.09	Comment Letter Filed with FINRA Regarding Proposed Consolidated FINRA Rule Governing Personal Securities Transactions for or by Associated Persons
06.01.09	Comments on Section 403(b) Prototype Plan Program
05.12.09	Comment Letter Filed with the SEC Regarding Proposed Adoption of Rule 2320 in the Consolidated FINRA Rulebook
04.20.09	Comment Letter Filed with the SEC Regarding Proposed IFRS Roadmap
04.17.09	Comment Letter Filed with the SEC Regarding Proposed Changes to Forms U4 and U5
02.20.09	Comment Letter Filed with FINRA Regarding Financial Responsibility and Related Operational Rules
02.20.09	Comment Letter Filed with FINRA Regarding Proposed Consolidated FINRA Rule Governing Information and Data Reporting and Filing Requirements
02.18.09	Comment Letter Filed with the SEC Regarding Proposed Adoption of Financial Responsibility Rules in Consolidated FINRA Rulebook

2008 News

12.19.08	Comment Letter Filed with the SEC Regarding Effective Date of FINRA Rule Governing Transactions in Deferred Variable Annuities
11.17.08	Supplemental Comment Letter Filed with the SEC Regarding Proposed Rule 151A
11.17.08	Supplemental Comment Letter Filed with the SEC Regarding Proposed Rule 12h-7
11.03.08	Committee of Annuity Insurers/ACLI Letter re Partial Exchanges of Annuity Contracts
09.30.08	Comment Letter Filed with FINRA Regarding Proposed New Rules Governing Communications About Variable Insurance Products
09.10.08	Comment Letter Filed with the SEC Regarding Proposed Rule 151A
09.10.08	Comment Letter Filed with the SEC Regarding Proposed Rule 12h-7
07.23.08	Comment Letter Filed with the SEC Regarding Interactive Data Proposals
07.14.08	Retirement Vulnerability: A New Study by Ernst & Young LLP
07.01.08	Comment Letter Filed with FINRA Regarding Proposed Rule Change Relating to Sales Practice Standards and Supervisory Requirements for Transactions in Deferred Variable Annuities
06.13.08	Comment Letter Filed with FINRA Regarding Regulatory Notice 08-23, Proposed Consolidated FINRA Rules Governing Financial Responsibility
06.13.08	Comment Letter Filed with FINRA Regarding Regulatory Notice 08-24, Proposed Consolidated FINRA Rules Governing Supervision and Supervisory Controls
06.13.08	Comment Letter Filed with FINRA Regarding Regulatory Notice 08-26, Proposed Consolidated FINRA Rules Addressing Investor Education and Protection
05.30.08	Letter to IRS Requesting Items for Inclusion on 2008-2009 IRS/Treasury Guidance Priority List
05.19.08	Comment Letter Filed with IRS and Treasury Department Regarding Rev. Proc. 2008-24 and Partial Exchanges of Non-Qualified Annuity Contracts
03.19.08	White Paper on FINRA Regulation of Sales of Annuities by Securities Firms
02.28.08	Comment Letter Filed with the SEC Regarding Mutual Fund Summary Prospectus Proposal
01.31.08	Comment Letter Filed with IRS Regarding Notice 2007-15 Regarding Procedures for Correcting Section 817(h) Diversification Failures
01.24.08	Comment Letter Filed with the SEC Regarding FINRA Proposed Delay of Implementation of Variable Annuity Transaction Rule
01.14.08	Copy of IRS Notice 2008-18 Regarding Annuity and Life Insurance Contract Reserve Methodologies

2007 News

11.16.07	Federal Register Copy of Form 5500 Annual Reporting
11.16.07	Federal Register Copy of Annual Reporting and Disclosure Guidance
11.15.07	Copy of Final Regulations Defining "Salary Reduction Agreement" for Purposes of IRC Section 3121(a)(5)(D)
11.13.07	Comment Letter on DOL Proposed Regulations Regarding Fiduciary Standards for Selecting Annuity Contracts for Defined Contribution Retirement Plans
10.29.07	Comment Letter on Proposed Regulations under IRC Section 817(h)
07.26.07	Final 403(b) Regulations (Federal Register)
07.19.07	Comment Letter Filed with SEC Regarding Rule 12b-1 Under the Investment Company Act of 1940
06.12.07	Comments on IRS Notice 2007-15 Regarding Procedures for Correcting Inadvertent Failures to Comply with Section 817(h) Diversification Requirements
05.30.07	Letter to IRS Requesting Inclusion of Partial Annuitization on 2007-2008 Guidance Priority List
05.24.07	Comments Filed with SEC on Interpretive and Practical Compliance Issues Relating to Amendment 4 to Proposed Rule 2821
04.09.07	Letter Requesting SEC to Seek Comment on Amendment 4 to Proposed Rule 2821
04.09.07	Comments Filed with NASD Regarding Proposed Amendments to Rules 3010(g) and 2711 in connection with Rule Harmonization Project with the NYSE
02.21.07	Letter to IRS Regarding Need for Published Guidance on Partial Annuitizations of Nonqualified Deferred Annuities
01.10.07	Letter to IRS and Treasury Regarding Effective Date of Final 403(b) Regulations

2006 News

11.13.06	Comments on Proposed DOL Regulations Regarding Default Investment Alternatives Under Participant-Directed Individual Account Plans
09.19.06	Comments on Proposed Revisions to Form 5500 Annual Return/Report
09.06.06	IRS Announces Delay in Effective Date of Final 403(b) Regulations
06.30.06	CRS Report on LSAs-RSAs
06.06.06	Comments on Effective Date of Final Regulations under Section 403(b)
4.26.06	Comments on Proposed Regulations Under IRC Section 402A

2005 News

11.21.05	Comments on Proposed & Temporary Regulations under IRC Section 408A
10.28.05	Letter from Senator Chuck Grassley, Chairman of the Senate Finance Committee, to John Snow, Secretary of the Treasury, regarding partial annuitization
10.06.05	Comments Regarding the Need for Additional Guidance on the Treatment of Roth 403(b) and 401(k) Annuities
6.10.05	Letter to the President’s Advisory Panel on Federal Tax Reform (from an ad hoc group of organizations including the Committee)
4.25.05	Letter to the President’s Advisory Panel on Federal Tax Reform
3.17.05	Letter to the President’s Advisory Panel on Federal Tax Reform
1.25.05	Comments on New Proposed & Temporary Regulations under IRC Section 403(b)

2003 News

10.28.03	Comments on Proposed Amendments to Regulations under IRC Section 817(h)
5.27.03	Comments on Section 403(b) Regulation Project

2002 News

12.03.02	Comments on Revenue Ruling 2002-62 Regarding Substantially Equal Periodic Payments
7.16.02	Comments on New Proposed & Temporary Regulations Regarding Required Minimum Distributions under Section 401(a)(9)

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