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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
June 18, 2007	Public Comment	Steve Bartlett, President and CEO, The Financial Services Roundtable
June 18, 2007	Public Comment	Ted Stephens, Santa Rosa, California
June 18, 2007	Public Comment	Tim Longo, Investment Advisor, Trident Partners Ltd.
June 18, 2007	Public Comment	W. Hardy Callcott, Bingham McCutchen LLP, San Francisco, California
June 18, 2007	Public Comment	Wes King, President, Centaurus Financial, Inc.
June 16, 2007	Public Comment	John H. Robinson, Honolulu, Hawaii
June 16, 2007	Public Comment	Melvyn H. Mark, La Mesa, California
June 15, 2007	Public Comment	Albert C. Krempa, Jr., Registered Representative, Fountainville, Pennsylvania
June 15, 2007	Public Comment	Carlton Kusunoki and John H. Robinson, Financial Advisors, Honolulu, Hawaii
June 15, 2007	Public Comment	Clifton Morris Jr., CLU, ChFC
June 15, 2007	Public Comment	Dave Jonsson, Seminole, Florida
June 15, 2007	Public Comment	Dave Scavuzzo, Senior Vice President, Financial Advisor, The MSA Group @ Morgan Stanley
June 15, 2007	Public Comment	Eric M. Aanes, Advisor, San Mateo, California
June 15, 2007	Public Comment	Gary Kirby and John H. Robinson, Financial Advisors, Honolulu, Hawaii
June 15, 2007	Public Comment	James D. Weddle, Managing Partner, ~Edward Jones
June 15, 2007	Public Comment	Jim McGovern, Financial Integrity Group, Inc., Chicago, Illinois
June 15, 2007	Public Comment	Kristi A. Mandt, Seattle, Washington
June 15, 2007	Public Comment	Robert E. Frey, Jr., President, Lakeside Advisors, Inc., Seattle, Washington
June 14, 2007	Public Comment	Charles C. Zhang, Zhang & Associates
June 14, 2007	Public Comment	Don Woodard, CLU, and Blake Woodard, CLU
June 14, 2007	Public Comment	Jim Schneider
June 14, 2007	Public Comment	Mark A. Wilden, CFP, CIMA, Wealth Management Advisor, Vice President, Portfolio Manager PIA Program
June 14, 2007	Public Comment	Scott Dickerson, ChFC, Dickerson Financial Services, Inc.
June 14, 2007	Public Comment	Seth J. Diener, 1717 Capital Management Company, Horsham, Pennsylvania
June 14, 2007	Public Comment	William Blakely Woodard
June 13, 2007	Public Comment	A Concerned Representative
June 13, 2007	Public Comment	Alan Morgan
June 13, 2007	Public Comment	Alvin C. Steinberg, CFP, Memphis, Tennessee
June 13, 2007	Public Comment	Brett W. Everhart, North Island Credit Union Investment Department, LPL Financial Advisor/LPL Registered Principal, Vice President/CFP (Registered Trademark)
June 13, 2007	Public Comment	Brian Fischer CFP, ChFC, CLU, President, Economic Concepts, Inc. - Securities America, Inc.

Last Reviewed or Updated: Dec. 18, 2025

File Number

4-538

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