Skip to search field Skip to main content

Official websites use .gov
A .gov website belongs to an official government organization in the United States.

Secure .gov websites use HTTPS
A lock () or https:// means you’ve safely connected to the .gov website. Share sensitive information only on official, secure websites.

Comments on: Roundtable Discussion Regarding Rule 12b-1

Comments have been received from individuals and entities using a variety of Letter Types:


Comment
A: 258
B: 737

Filter comments


Date Sort descending	Letter Type	Commenter Name
Aug. 4, 2008	Public Comment	Patrick K. Elmore, Financial Advisor, Elmore Financial Group, Inc.
June 19, 2008	Public Comment	Daniel A. Driscoll, Executive Vice President, National Futures Association
June 18, 2008	Public Comment	Darrell C. Clayotr, Registered Representative, Securities America, Inc.
June 18, 2008	Public Comment	Jeffrey T. Lester, Financial Advisor, MHM Wealth Management, LLC
June 18, 2008	Public Comment	Kishore Shah, Securities America, Inc.
June 17, 2008	Public Comment	David Cutshall, CFP, Multi-Financial Securities
June 17, 2008	Public Comment	James Christian, President, Jim Christian Inc.
June 17, 2008	Public Comment	Lynn Hendricks, Owner, Hendricks Financial
June 17, 2008	Public Comment	Randal Nicholls
June 17, 2008	Public Comment	Sean Berger, CFP, Adirondack Retirement Specialists
May 22, 2008	Public Comment	Tim H. Cooper, CRFA
May 8, 2008	Public Comment	Eric Sjodin
March 6, 2008	Public Comment	James D. Weddle, Managing Partner, Edward Jones
March 4, 2008	Public Comment	Jeff White, CFP
Feb. 12, 2008	Public Comment	Robert Hammon, President, First Asset Financial, Inc., Salina, Kansas
Jan. 25, 2008	Public Comment	Robert Hammon, President, First Asset Financial, Inc., Salina, Kansas
Jan. 17, 2008	Public Comment	Pamela S. Fritz, CSCP, CCO, MWA Financial Services, Inc.
Jan. 17, 2008	Public Comment	Paul Marrella, J.D., CFP, CLTC, Raymond James Financial Services, Inc.
Jan. 9, 2008	Public Comment	Walter Rentz, Personal Financial Rep., Allstate
Dec. 21, 2007	Public Comment	Erin F. Donnelly, Managing Director, Merrill Lynch, Pierce, Fenner & Smith Incorporated
Nov. 20, 2007	Public Comment	Jim Thiele, Financial Network Investment Corporation, Anchorage, Alaska
Nov. 7, 2007	Public Comment	Richard Dehner, CLU, Dehner Financial Services
Nov. 2, 2007	Public Comment	Henry Asher, President, The Northstar Group, Inc.
Nov. 2, 2007	Public Comment	Richard Dehner, CLU, Dehner Financial Services
Oct. 31, 2007	Public Comment	Karen Burneff, OSJ Branch Manager, Financial Network Investment Corp.
Oct. 30, 2007	Public Comment	Herbert N. Messick, CFP, CLU, ChFC, AAMS, CMFC, CRPC, Financial Network
Oct. 30, 2007	Public Comment	John Robert Austin, CFP, Registered Principal lnvestment Advisor Representative, Financial Network Investment Corp.
Oct. 30, 2007	Public Comment	Tom Fayen, Registered Representative, Financial Network Invetment Corp.
Oct. 26, 2007	Public Comment	Emilia Kato, OSJ, Girard Securities
Oct. 22, 2007	Public Comment	Mike Moffitt, ChFC, Cornerstone Financial Group

Last Reviewed or Updated: Dec. 18, 2025

File Number

4-538

How to submit comments