Comments on Rulemaking petition to amend Exchange Act Rule 17a-4(f)

[File No. 4-713]

Submitted Comments
Dec. 20, 2017 Robert D. Oros, Chief Executive Officer, HD Vest Financial Services
Dec. 8, 2017 Hannah Berkowitz, Murphy & McGonigle, P.C.

Rulemaking petition to amend Exchange Act Rule 17a-4(f)

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