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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 13, 2007	Public Comment	Chris Freeman
June 13, 2007	Public Comment	David Forlow, Lake Bluff, Illinois
June 13, 2007	Public Comment	David Hubbard, Regional Director, Financial Network Investment Corporation, Crystal Lake, Illinois
June 13, 2007	Public Comment	David Kaplan, Vice President UBS Financial Services, White Plains, New York
June 13, 2007	Public Comment	David M. Crooks, CFP, CLU, ChFC, RHU, Wealth Management Advisor, Bleakley, Dwyer, Schwartz, Cooney & Finney LLC
June 13, 2007	Public Comment	Davis J. Rieman, Jr., Certified Financial Planner
June 13, 2007	Public Comment	Gary B. Roth, Financial Advisor, Raymond James & Associates, Inc., Member New York Stock Exchange/SIPC
June 13, 2007	Public Comment	Gina Duryea, CEO/Registered Principal, Pension Planners Securities, Inc.
June 13, 2007	Public Comment	Guy M. Cumbie, Fort Worth, Texas
June 13, 2007	Public Comment	H. Michael Finkle, Senior Vice President, Investments, Finkle, Lewis & Kittell Wealth Advisors of Raymond James & Associates
June 13, 2007	Public Comment	Jeffrey D. Thiele, Branch Manager, A.G. Edwards
June 13, 2007	Public Comment	John M. Perrette, Freehold, New Jersey
June 13, 2007	Public Comment	John W. Loyd, CFP
June 13, 2007	Public Comment	Jonathan M. Pearlstein, CRPC, Associate Financial Advisor with the practice of Richard K. Juergensen
June 13, 2007	Public Comment	Louis Hughes, CFP, Investment Centers of America-Taylor, TX
June 13, 2007	Public Comment	Martavius D. Jones, NASD Registered Representative, Memphis, Tennessee
June 13, 2007	Public Comment	Matthew P. Fink
June 13, 2007	Public Comment	Melinda D. Brewer, Second Vice President-Wealth Management, Financial Advisor, Financial Planning Specialist
June 13, 2007	Public Comment	Michael D. Crowder, UBS Financial Services, Inc., Chattanooga, Tennessee
June 13, 2007	Public Comment	Michael D. Udoff, Managing Director and Associate General Counsel, New York, New York
June 13, 2007	Public Comment	Michael R. Clancy, CFP, CLU
June 13, 2007	Public Comment	Peter Wollesen, Financial Advisor
June 13, 2007	Public Comment	Richard T. Suro, Registered Representative, Richard T. Suro Associates, Inc.
June 13, 2007	Public Comment	Richard Tate, Registered Representative, FSC Securities, Knoxville, Tennessee
June 13, 2007	Public Comment	Rick Sany, Portland, Oregon
June 13, 2007	Public Comment	Roger Machlin, Student, The University of Tampa
June 13, 2007	Public Comment	Royal Alliance Representative
June 13, 2007	Public Comment	Sal Rodriguez, Bank of America Investments, Whittier, California
June 13, 2007	Public Comment	Scott E. Cooper, CFP, CFS, Vice President, Economic Concepts, Inc.- Securities America, Inc.
June 13, 2007	Public Comment	William G. Hammond, CFP, Hammond Investment Planning Corporation

Last Reviewed or Updated: Dec. 18, 2025

File Number

4-538

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