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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	William L. Crothers, Jr., Senior Vice President, Global Wealth Management Group, Morgan Stanley
June 13, 2007	Public Comment	William T. Ryan, President, Ryan Financial Inc., Member, NASD
June 12, 2007	Public Comment	Eric P. Wilby, Jr., Financial Consultant, Robinson & Robinson, Inc.
June 12, 2007	Public Comment	John H. Robinson, Honolulu, Hawaii
June 12, 2007	Public Comment	John P. Malia, Financial Consultant, Robinson & Robinson, Inc.
June 12, 2007	Public Comment	John R. Kolp, Vice President, Robinson & Robinson, Inc.
June 10, 2007	Public Comment	Debra A. Kerl, Orchard Park, New York
June 9, 2007	Public Comment	Andrew Gross
June 8, 2007	Public Comment	Larry Dorn, President, Dorn & Co., Inc.
June 6, 2007	Public Comment	Michael K. Nakahira, Financial Consultant with First Allied Securities Inc., Sacramento, California
June 2, 2007	Public Comment	Lauren Garland
June 1, 2007	Public Comment	Gregory A. Keil, Wealth Management Advisor, Citi Family Office, The Monument Group at Smith Barney, Inc.
June 1, 2007	Public Comment	Kelly Pratas, President, Kuykendall and Schneider, Inc., Lubbock, Texas
June 1, 2007	Public Comment	Martin W. Pernoll, Chief Executive Officer and Martin L. Pernoll, Managing Director, Bay Mutual Financial
June 1, 2007	Public Comment	Randolph Gregg
May 31, 2007	Public Comment	Gregory A. Gallo, CPA/PFS, CRPC, Tinton Falls, New Jersey
May 31, 2007	Public Comment	Hunter Wm. Bailey, Registered Rep., Citrus Heights, California
May 31, 2007	Public Comment	Mark W. Novkov, Certified Financial Planner, Phoenix, Arizona
May 30, 2007	Public Comment	Brian Troyer, Millersburg, Ohio
May 30, 2007	Public Comment	Oren Peretz, NASD/NYSE Arbitrator/Mediator, Encino, California

Last Reviewed or Updated: Dec. 18, 2025

File Number

4-538

How to submit comments