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

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Date Received
Date Letter Type Commenter Name
Public Comment Elizabeth Sullivan
Public Comment Melanie S. diCenso, CFP
Public Comment Bernard Smit, CFP, ChFC, Financial Network Investment Corp., Moraga, California
Public Comment Jerry Maloney, Branch Manager, Raymond James Financial Services Inc.
Public Comment Benedicto M. Gallo, San Francisco, California
Public Comment Michelle Dixon, Registered Representative
Public Comment Mr. Donald W. Hadley, Jr., President, Capital Analysts of NC Inc., Zebulon, North Carolina
Public Comment Victor Simon, Wealth Care Advisor, Capital Analysts Inc.
Public Comment Travis Yager
Public Comment Bill Darrah
Public Comment Marc Tomberg
Public Comment Matthew Giles, Vice President, Old National Investments, Henderson, Kentucky
Public Comment David Noakes, Eufaula, Alabama
Public Comment Marc Lallier
Public Comment Raj Mithyh
Public Comment Robert F. Perreault, Seekonk, Massachusetts
Public Comment Carolyn Cash, CFP, President, Cash Financial Group, Chesterfield, Missouri
Public Comment Patricia H. Bevis
Public Comment Rick Balmaseda, First Vice President-Investments
Public Comment F.W. Snoddy
Public Comment Charles D. Waites, INVEST Financial Corporation
Public Comment David Hellman, Ozark National Life, NIS Financial Services
Public Comment David Langner
Public Comment Laura Schultz, Registered Representative, NIS Financial Services, Inc.
Public Comment Paul Soper, INVEST Financial
Public Comment Trevor Conlon, Bear, Delaware
Public Comment Paul R. Massa, CFP, INVEST Financial Corporation
Public Comment Tim Legamaro, President, Legamaro Financial Services
Public Comment Tim Legamaro, President, Legamaro Financial Services
Public Comment Bonnie Determan, Ozark National Life/NIS Financial Services

Last Reviewed or Updated: Dec. 18, 2025

File Number
4-538
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