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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 Sort descending	Letter Type	Commenter Name
July 9, 2007	Public Comment	Rick G. Wentz, FICF
July 9, 2007	Public Comment	Rick R. Staggs, CFP, RiverPark Financial Group
July 9, 2007	Public Comment	Sally Lassen-Krzykos, CLU
July 9, 2007	Public Comment	Steve P. Hagan
July 9, 2007	Public Comment	Steve Van Scoik, Registered Representative, Elkhart, Indiana
July 9, 2007	Public Comment	Tom Bienkowski
July 9, 2007	Public Comment	Troy Thompson, DBA Thompson Financial, Boone, Iowa
July 9, 2007	Public Comment	William A. Caplin, CLU, ChFC, IAR
July 9, 2007	Public Comment	William C. Fallon, CLU, Sullivan, Garrity & Donnelly, Worcester, Massachusetts
July 9, 2007	Public Comment	William H. Belk
July 7, 2007	Public Comment	Howard Townsend, CFP, CLU, ChFC, Townsend & Townsend
July 7, 2007	Public Comment	Suzanne Seay
July 6, 2007	Public Comment	Allan Wayne Cranfill CFP(r), Registered Rep., VSR Financial Services, Inc.
July 6, 2007	Public Comment	Curtis Mohr, Registered Rep., Royal Alliance Associates
July 6, 2007	Public Comment	Darrell N. J. Norling
July 6, 2007	Public Comment	Graham Parsons, Registered Principal, LPL Financial Services
July 6, 2007	Public Comment	Ken George, Executive VP, VSR Financial Services, Inc.
July 6, 2007	Public Comment	Randy Russell, President, Zahorik Financial Services Inc.
July 6, 2007	Public Comment	Ross Smith, Registered Representative, Investment Officer, Farmers Savings Bank
July 6, 2007	Public Comment	Scott Bussy, Managing Director, Bearing Financial Advisors, LLC
July 6, 2007	Public Comment	Scott Dolitsky, CFP, D&B Strategic Wealth
July 6, 2007	Public Comment	Stephen Russell, Executive Vice President, VSR Financial Services, Inc.
July 5, 2007	Public Comment	Darla Main, CFP, Main Advisory Inc., Pittsburgh, Pennsylvania
July 5, 2007	Public Comment	David Gasparik, American Portfolios Financial Services Inc., Ossining, New York
July 5, 2007	Public Comment	Elinos Whitlock, President, Whitlock WealthCare, Inc., Charlotte, North Carolina
July 5, 2007	Public Comment	James Sanderson, Armstrong, Backus & Co. P.C., Blackwell, Texas
July 5, 2007	Public Comment	James Wiekamp, Director of Investment Services, Home Federal Investment Services, Spring Valley, Minnesota
July 5, 2007	Public Comment	John Weibler, Lewiston, Indiana
July 5, 2007	Public Comment	Kate Marvel, President, Marvel Financial Planning, Inc.
July 5, 2007	Public Comment	Lily Espinoza

Last Reviewed or Updated: Dec. 18, 2025

File Number

4-538

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