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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 5, 2007	Public Comment	Martilias Porreca
July 5, 2007	Public Comment	Michael Thomas, Independent Financial Advisor, Thomas Capital Management, LLC
July 5, 2007	Public Comment	Robert Kailes
July 5, 2007	Public Comment	Steven Weinstein, CFP, Registered Rep., Mutual Service Corp.
July 5, 2007	Public Comment	Thomas S. Talbot, Woodbury Financial Services, Inc., Arlington Heights, Illinois
July 5, 2007	Public Comment	Veda Cassells-Jones, CFP, AIF, C-J Advisory, Inc., San Jose, California
July 2, 2007	Public Comment	Avi Nachmany, Director of Research, Strategic Insight, New York, New York
July 1, 2007	Public Comment	William A. Kristofek, President, Kristofek Financial Corp., Evanston, Illinois
June 28, 2007	Public Comment	David Evans, Financial Consultant, Financial Network, Dallas, Texas
June 27, 2007	Public Comment	Chuck Epstein, Folsom, California
June 27, 2007	Public Comment	Dan L. Wilburn, CFP, Valparaiso, Indiana
June 27, 2007	Public Comment	Shawn M. Agan, Registered Representative, Bettendorf, Iowa
June 26, 2007	Public Comment	Harold Evensky, CFP
June 25, 2007	Public Comment	Charles Gallagher, Sr. Partner, GPS Financial Group, LLC
June 25, 2007	Public Comment	Jacques Pessah, Financial Consultant, North Ridge Securities
June 25, 2007	Public Comment	John Hannah, CFP, CPA
June 25, 2007	Public Comment	Kenneth Bauer, ChFC, Financial Network Invest. Corp.
June 25, 2007	Public Comment	Rae-Carole Fischer, Financial Advisor, North Ridge Securities
June 22, 2007	Public Comment	Thomas Conway, Royal Alliance Associates
June 21, 2007	Public Comment	Christopher Stein, Financial Consultant, LPL Financial Services
June 21, 2007	Public Comment	Gary Giebelhaus
June 21, 2007	Public Comment	Karl Hambrecht, Registered Representative, Royal Alliance Associates
June 21, 2007	Public Comment	Lawrence Fishman, Financial Consultant, AG Edwards, Newton, Massachusetts
June 21, 2007	Public Comment	Mr. Michael Murray, CFP(R), Foundry Financial Services
June 21, 2007	Public Comment	Ronald Snell, Certified Financial Planner, Berthel Fisher and Company
June 21, 2007	Public Comment	Roy Fortner, Fortner Finacial Services, Inc.
June 21, 2007	Public Comment	Terrence M. Downing, CFP, CPA, Securities offered through Cadaret Grant & Co. Member NASD, SIPC
June 20, 2007	Public Comment	Anthony Zambri, Equity Services, Inc.
June 20, 2007	Public Comment	Frank R. Carey, Mutual Service Corp.
June 20, 2007	Public Comment	Gene L. Olson, CFP

Last Reviewed or Updated: Dec. 18, 2025

File Number

4-538

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