Comments on Definitions of Terms and Exemptions Relating to the "Broker" Exceptions for Banks

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Date Received
Date Letter Type Release Number Commenter Name
Public Comment 34-54946 Joanne Radmore Ratkai, Vice President and General Counsel, Fiserv Trust Company, Denver, Colorado
Public Comment 34-54946 Joe Belew, President, Consumer Bankers Association
Public Comment 34-54946 John B. Sullivan, Senior Vice President and Assistant General Counsel, U.S. Trust
Public Comment 34-54946 John F. Kozlowski, General Counsel, Ohio Credit Union League
Public Comment 34-54946 Julius L. Loeser, Comerica Bank, Detroit, Michigan
Public Comment 34-54946 Karen L. Garrett, Bryan Cave LLP, Kansas City, Missouri
Public Comment 34-54946 Kurt R. Bauer, President/CEO, Wisconsin Bankers Association
Public Comment 34-54946, 34-54947 Lawrence A. Knecht, Sr., Vice President & Legal Counsel, UMB Bank, n.a.
Public Comment 34-54946 Lisa Tate, Associate General Counsel, Litigation, American Council of Life Insurers
Public Comment 34-54946 Martha A. Pampel, Deputy Regulatory Counsel, HSBC Bank USA
Public Comment 34-54946 Melanie L. Fein, Federated Investors, Inc.
Public Comment 34-54946 Michael W. Emerson, HSBC Securities (USA) Inc., New York, New York
Public Comment 34-54946, 34-54947 Norman R. Nelson, General Counsel, The Clearing House Association L.L.C.
Public Comment 34-54946 Paul V. Reagan, Executive Vice President and U.S. General Counsel, The Harris Bank N.A.
Public Comment 34-54946 Rich Whiting, Executive Director and General Counsel, Financial Services Roundtable
Public Comment 34-54946, 34-54947 Sarah A. Miller, Director & Chief Regulatory Counsel, Center for Securities, Trust and Investments, American Bankers Association
Public Comment 34-54946 Sharon A. Haeger, Regulatory Counsel, America's Community Bankers
Public Comment 34-54946, 34-54947 Stefan M. Gavell, Executive Vice President and Head of Regulatory and Industry Affairs, State Street Corporation
Public Comment 34-54946 William F. Galvin, Secretary of the Commonwealth, Commonwealth of Massachusetts
Public Comment 34-54946, 34-54947 Beverley Rutherford, Virginia Credit Union, Richmond, Virginia
Public Comment 34-54946 Johannes H. Worsoe, Executive Vice President, Union Bank of California
Public Comment 34-54946 John W. Low, on behalf of the Association of Colorado Trust Companies
Public Comment 34-54946 Lawrence R. Uhlick, Chief Executive Officer, Institute of International Bankers
Public Comment 34-54946 Mark E. Hoaglin, President and CEO, XCU Corporation, Inc.
Public Comment 34-54946 Mark R. Thresher, President and Chief Operating Officer, Nationwide Financial Services, Inc.
Public Comment 34-54946 Sandra J. Troutman, Executive Vice President, Government Relations, National Association of State Credit Union Supervisors
Public Comment 34-54946 Scott A. Glave, Vice President, Charles Schwab Trust Company
Public Comment 34-54946 Tamara K. Salmon, Senior Associate Counsel, Investment Company Institute
Public Comment 34-54946 Timothy J. Lathe, Executive Vice President, National City Corporation
Public Comment 34-54946 Richard D. Starr, Director, Government Relations, Bank Insurance and Securities Association

Last Reviewed or Updated: Dec. 18, 2025

File Number
S7-22-06
Release Number
34-56501
34-54946
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