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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 15, 2007	Public Comment	Dean Koci, The Northwestern Mutual Financial Network, San Diego, California
July 14, 2007	Public Comment	Clifford E. Marstiller, Westminster Financial Securities, Inc., Dayton, Ohio
July 14, 2007	Public Comment	Jennifer Baron, Registered Representative, New York
July 13, 2007	Public Comment	Chris Hassett, ChFC, ARPC, Financial Adviser, Eagle Strategies Corp., Arvada, Colorado
July 13, 2007	Public Comment	Craig J. Lindholm, Wealth Management Advisor, Newport Beach, California
July 13, 2007	Public Comment	Gary A. Sanders, Senior Counsel, Law and Government Relations, National Association of Insurance and Financial Advisors
July 13, 2007	Public Comment	Hugh A. Simpson, General Counsel, and Adán D. Araujo, Chief Compliance Officer, First Command Financial Planning, Inc., Fort Worth, Texas
July 13, 2007	Public Comment	Michael J. Downer, Paul G. Haaga and Paul F. Roye, Capital Research and Management Company, First Command Financial Planning, Inc.
July 13, 2007	Public Comment	Robert A. DiCola, CLU, ChFC
July 12, 2007	Public Comment	Ann-Marie J. McCoy
July 12, 2007	Public Comment	Deborah D. Schmitt, CLTC, CSA, FIC, Thrivent Investment Management Inc.
July 12, 2007	Public Comment	Kim R. Seymour; Seymour, Richards, Cady and Associates
July 12, 2007	Public Comment	Matt Miller, CLU, ChFC, CFP, CFS, CSA, Registered Representative, MML Investors Services, Inc., Massachusetts Mutual
July 12, 2007	Public Comment	Todd J. Miller, Financial Advisor, Ameriprise Financial Services, Inc.
July 11, 2007	Public Comment	David Watson, President, D.A. Watson & Co.
July 11, 2007	Public Comment	Domna Del Rio, Registered Representative, Royal Alliance Associates, Inc.
July 11, 2007	Public Comment	Jim MacDonald, CFP, Reed & Company, P.C.
July 11, 2007	Public Comment	Joseph R. D'Alessio
July 11, 2007	Public Comment	Kenneth Theel, Theel Insurance & Financial Services, Emporia, Kansas
July 11, 2007	Public Comment	Kent E. Schiner,CLU,ChFC,CLTC
July 11, 2007	Public Comment	Robert H. FitzSimmons, CFP, President, Bob FitzSimmons, Inc.
July 11, 2007	Public Comment	Todd W. Knutsen, CLU, ChFC, North Star Resource Group
July 10, 2007	Public Comment	Amy Frisch, Branch Manager, Investment Advisor Representative, Woodbury Financial Services, Centennial, Colorado
July 10, 2007	Public Comment	Anthony D. Miller, MSFS, CFP, Billings, Montana
July 10, 2007	Public Comment	Dan Goldberg, CFP, ChFC, Lutz, Florida
July 10, 2007	Public Comment	Douglas J. Weisenberger, CFP, CLU, ChFC, Senior Partner, North Star Resource Group
July 10, 2007	Public Comment	Edward Riley, Chairman and CEO, EK Riley Investments, LLC
July 10, 2007	Public Comment	Gary T. Wolff
July 10, 2007	Public Comment	Hal Nickle,CLU, Registered Rep. MMLISI
July 10, 2007	Public Comment	Jack E. Tosetti, Financial Representative

Last Reviewed or Updated: Dec. 18, 2025

File Number

4-538

How to submit comments