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 Received
Date Letter Type Commenter Name
Public Comment Jill Shannon
Public Comment Patrick O'Halloran, Independent Financial Advisor, SII Investments
Public Comment Steve Wiands, San Diego, California
Public Comment T. Brian Brandt
Public Comment Dale E. Brown, CAE, President & CEO
Public Comment David Silver
Public Comment Drake Q. Dawson, NIS Financial Services
Public Comment Dan Lucas
Public Comment Kenneth A. Hahn, CLU, ChFC, LUTCF, East Peoria, Illinois
Public Comment Howard L. Bregman, Ph.D., CRPC, Financial Advisor, Ameriprise Financial Services, Inc.
Public Comment John Bergstrom
Public Comment Alexandra Kaid
Public Comment Kathleen Deroche, NIS Financial Services
Public Comment Leon Hess, NIS & CNS Licensed Agent
Public Comment Richard C. Osman
Public Comment Greg Miller
Public Comment John P. Freeman
Public Comment Richard Wyatt
Public Comment David Koll, LUTCF, Registered Represenative, Mutual of Omaha
Public Comment Linda S. Hoffman, DIS
Public Comment Robert Avery
Public Comment Janet Heitzig, CLU, RFC, Chesterfield, Missouri
Public Comment Laurie Daven, Principal Financial Group, Portland, Oregon
Public Comment Gerald Thebeau, Royal Alliance
Public Comment Gregory S. Wolff, CFP
Public Comment Michael Ulanich, Chesapeake, Virginia
Public Comment Paul Magnano, CLU, ChFC
Public Comment Andrew Reyburn, Bowers Manufacturing 401k Committee, Galesburg, Michigan
Public Comment Curtis Mohr, Registered Rep., Royal Alliance Associates
Public Comment Glen Clemans, CGC Financial Services

Last Reviewed or Updated: Dec. 18, 2025

File Number
4-538
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