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

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Date Sort descending	Letter Type	Release Number	Commenter Name
March 21, 2007	Public Comment	34-54946	Thomas C. Davis, President and Guy Messick, Legal Counsel, National Association of Credit Union Service Organizations
March 16, 2007	Public Comment	34-54946	Barry J. Zadworny, Senior Vice President, Compliance, Roma Bank
March 9, 2007	Public Comment	34-54946	Alan R. Konetzki, Sr. Vice President, Community Bank & Trust
March 8, 2007	Public Comment	34-54946	Cutler Dawson, President/CEO, Navy Federal Credit Union
Jan. 31, 2007	Public Comment	34-54946	John A. Malkovich, Tareik, California
Jan. 2, 2007	Public Comment	34-54946	John R. Boyd, CFP, Certified Financial Planning Practitioner, Worcester, Massachusetts

Last Reviewed or Updated: Dec. 18, 2025

File Number

S7-22-06

Release Number

34-56501

34-54946

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