Comments on Proposed Rule:
Prohibition on the Use of Brokerage Commissions to Finance Distribution

[IC-26356; File No. S7-09-04]

• Comments have been received from individuals and entities using a variety of Letter Types:

  • Letter Type A:	925
  • Letter Type B:	782
  • Letter Type C:	6
  • Letter Type D:	10
  • Letter Type E:	5

  
   
• Robert DeFazio, Buena Park, California, August 25, 2004 (File name: rdefazio3472.htm)
   
• James W. Vitalone, CFA, Chair, U.S. Advocacy Committee; and Linda L. Rittenhouse, CFA Institute Advocacy, CFA Institute, August 9, 2004 (File name: cfai080904.pdf)
   
• Anonymous reviewer, July 22, 2004, (File name: amgtova072204.htm)
   
• James M. Poindexter, July 6, 2004, (File name: poindexter070604.htm)
   
• Lynn Ezerski, Certified Financial Planner R, Naperville, Illinois, June 28, 2004, (File name: lezerski8438.htm)
   
• Thomas Edwards, June 22, 2004 (File name: tedwards062204.txt)
   
• Edwin L. Katz, Principal and Stanley J. Katz, Principal, First Alliance Asset Management, Inc., June 18, 2004 (File name: s70904-281.pdf)
   
• M. Sue Larkin, CFP, Regional Director, Financial Network Investment Corp, Sun City, Arizona, June 16, 2004, (File name: mlarkin6366.htm)
   
• Allen R Slominski, Financial Advisor, Fidelity Financial Group, June 13, 2004 (File name: fidelity061304.txt)
   
• Dale C. Sprout, Plymouth, Minnesota, June 10, 2004, (File name: dcsprout1711.htm)
   
• John H. Robinson, June 10, 2004 (File name: jhrobinson061004.pdf)
   
• Marvin S. Goldman, Goldman Group Inc., June 9, 2004 (File name: s70904-273.pdf)
   
• Eva G. Patry, FPA Financial Planning Association, Sun City, Arizona, June 9, 2004, (File name: egpatry8723.htm)
   
• Donald C. Pratt, Registered Principal and Investment Advisor Affiliate, Wethersfield, Connecticut, June 9, 2004, (File name: dcpratt6963.htm)
   
• Keith A. Raia, Registered Representative FNIC , Albuquerque, New Mexico, June 9, 2004, (File name: karaia8841.htm)
   
• Charles B. Murdock, M.D., Trustee, Spartanburg Nephrology Associates Profit Sharing Plan, Spartanburg, South Carolina, June 6, 2004, (File name: cbmurdock5762.htm)
   
• Peter R. Kemmerer, Mesa Verde, Inc., June 1, 2004, (File name: pkemmerer060104.htm)
   
• Charles Haas, June 1, 2004, (File name: chaas060104.htm)
   
• Jeffrey M. Garell, CFP, CLU, Registered Principal, Associated Securities Corporation, May 28, 2004, (File name: jgarell052804.htm)
   
• Lynn C. Appelman CFP, ChFC, CFS, May 27, 2004, (File name: lappelman052704.htm)
   
• Harry Summers, May 26, 2004, (File name: hsummers052604.htm)
   
• Matthew P. Fink, President, Investment Company Institute, May 24, 2004, (File name: s70904-154.pdf)
   
• Eric E. Haas, Chief Investment Officer, Altruist Financial Advisors LLC, Holland, Michigan, May 23, 2004, (File name: eehaas4066.htm)
   
• David O. Spinar, Vice President and Chief Compliance Officer, Securities America, Inc., May 22, 2004 (File name: sai052204.pdf)
   
• Dechert LLP, May 21, 2004 (File name: dechert052104.pdf)
   
• Dabney Ajemc forwarded by Senator John Cornyn, May 19, 2004, (File name: s70904-157.pdf)
   
• Paul N. Carron, Two Rivers, Wisconsin, May 17, 2004, (File name: s70904-156.pdf)
   
• Stan T. Carmichael, Carmichael Associates, May 17, 2004, (File name: s70904-155.pdf)
   
• Dixie L. Johnson, Chair, Committee on Federal Regulation of Securities, Section of Business Law, American Bar Association, May 14, 2004 (File name: aba051404.pdf)
   
• Greg Stewart, ChFC, REBC, May 14, 2004 (File name: gstewart051404.txt)
   
• Lily Chen, May 13, 2004 (File name: lilychen051304.txt)
   
• Richard R. Cortright CFP, MBA, May 13, 2004 (File name: rrcortright051304.txt)
   
• John A Buetow, CLU, Registered Representative, Kalamazoo, Michigan, May 13, 2004, (File name: jabuetow6106.htm)
   
• Philip C. McMorrow, May 12, 2004 (File name: s70904-148.pdf)
   
• Jarrett Lilien, President and Chief Operating Officer, E*TRADE Financial Corporation, May 11, 2004 (File name: etrade051104.pdf)
   
• Jeffrey M. Auld, President, NEXT Financial Group, May 10, 2004, (File name: s70904-102.pdf)
   
• James P. Ryan, Capital Research and Management Company, May 10, 2004, (File name: s70904-103.pdf)
   
• Memorandum from Jennifer B. McHugh, Senior Advisor to the Director, Division of Investment Management, regarding a May 6, 2004 meeting with representatives from the Investment Company Institute and it's Board of Governors dated May 11, 2004 (File name: ici051104.pdf)
   
• David 0. Spinar, Vice President and Chief Compliance Officer, May 10, 2004 (File name: s70904-159.pdf)
   
• Barbara Roper, Director of Investor Protection, Consumer Federation of America, Mercer Bullard, Founder and President, Fund Democracy, Inc., Sally Greenberg, Senior Counsel, Consumers Union, Kenneth McEldowney, Executive Director, Consumer Action, May 10, 2004, (File name: s70904-92.pdf)
   
• Dale E. Brown, CAE, Executive Director & CEO, Financial Services Institute, May 10, 2004 (File name: fsi051004.pdf)
   
• Ralph A. Lambiase, NASAA President and Director, Connecticut Division of Securities, North American Securities Administrators Association, May 10, 2004 (File name: nasaa051004.pdf)
   
• Stephen A. Keen, General Counsel, Federated Investors, Inc., May 10, 2004 (File name: federatedinv051004.pdf)
   
• Marvin L. Mann, Chairman of the Independent Trustees, The Fidelity Funds, May 10, 2004 (File name: fidelityfunds051004.pdf)
   
• Bridget B. Hughes, CFA, Senior Fund Analyst, Morningstar, Inc., May 10, 2004 (File name: morningstar051004.pdf)
   
• William J. Rittling, First Vice President, Merrill Lynch, Pierce, Fenner & Smith Incorporated, May 10, 2004 (File name: merrilllynch051004.pdf)
   
• Amy B.R. Lancellotta, Acting General Counsel, Investment Company Institute, May 10, 2004 (File name: ici051004.pdf)
   
• Michael D. Udoff, Vice President, Associate General Counsel and Secretary, Securities Industry Association, May 10, 2004 (File name: sia051004.pdf)
   
• Ronald C. Long, Senior Vice President, Regulatory Policy and Administration, Wachovia Securities, LLC, May 10, 2004 (File name: wachovia051004.pdf)
   
• Neil A. Simon, Esq., FPA Director of Government Relations, Financial Planning Association, May 10, 2004 (File name: fpa051004.pdf)
   
• Raymond A. Mason, Chief Executive Officer, Legg Mason, Inc., May 10, 2004 (File name: leggmason051004.pdf)
   
• Leigh Nickel, CLU, ChFC, Registered Representative of Mutual Service Corporation, Plantation, Florida, May 10, 2004, (File name: lnickel1786.htm)
   
• Barry S. Augenbraun, Senior Vice President, Raymond James Financial, Inc, St. Petersburg, Florida, May 10, 2004, (File name: bsaugenbraun8266.htm)
   
• Jeffrey M. Auld, President, NEXT Financial Group, May 10, 2004 (File name: nextfin051004.pdf)
   
• David Byrnes, Aledo, Texas, May 10, 2004, (File name: dbyrnes9971.htm)
   
• Richard M. Whiting, Executive Director and General Counsel, Financial Services Roundtable, May 11, 2004 (File name: fsrt051004.pdf)
   
• Roger Ochs, President, H.D. Vest Financial Services, May 10, 2004 (File name: hdvestfin051004.pdf)
   
• Fred Sanchez, May 10, 2004 (File name: fsanchez051004.txt)
   
• Mike Scafati, Senior Vice President, A.G. Edwards & Sons, Inc., May 10, 2004 (File name: mscafati051004.txt)
   
• Ronald Roeser, May 10, 2004 (File name: rroeser051004.txt)
   
• Rich Hanford, May 10, 2004 (File name: rhanford051004.txt)
   
• James E. Easton, Registered Representative, Mutual Service Corporation, May 10, 2004 (File name: jeeaston051004.txt)
   
• Ronald J. Bickford, CFP, May 10, 2004 (File name: rjbickford051004.txt)
   
• Jim McGuinness, May 10, 2004 (File name: jmcguinness051004.txt)
   
• Robert C. Pozen, Chairman, MFS Investment Management, May 10, 2004 (File name: mfsi051004.pdf)
   
• Tim Barnette, May 9, 2004 (File name: tbarnette050904.txt)
   
• Michael J. Meiners, CFP, JD*, Investment Advisor Representative, Financial Plans & Strategies, Inc., May 9, 2004 (File name: mjmeiners051004.txt)
   
• Anthony R. Luzzi, Mutual Service Corp., May 8, 2004 (File name: arluzzi050804.txt)
   
• Roger M. Kalar C.F.P., Broker and Registered Representative, Mutal Service Associates, May 7, 2004, (File name: s70904-106.pdf)
   
• Rita C. DeFloreo, Principal Compliance Manager/CCO, Paradigm Equities, Inc., East Lansing, Michigan, May 7, 2004, (File name: rcdefloreo6351.htm)
   
• Jim Hayett, OSJ Sentra Securities, May 7, 2004 (File name: osjsentra050704.pdf)
   
• Kevin B. McGrath, Southborough, Massachusetts, May 7, 2004, (File name: kbmcgrath2399.htm)
   
• Lynn M. Vance, May 7, 2004 (File name: lmvance050704.txt)
   
• Rita C. DeFloreo, Principal Compliance Manager/CCO, Paradigm Equities, Inc., East Lansing , Michigan, May 7, 2004, (File name: rcdefloreo7479.htm)
   
• Grant L. Simon, May 7, 2004 (File name: glsimon050704.txt)
   
• Cathy Sommers, Intregrated Financial Strategies, May 7, 2004 (File name: csommers050704.txt)
   
• Michael Fay, May 7, 2004 (File name: michfay050704.txt)
   
• Rick A. Sany, CFS, Portland, Oregon, May 7, 2004, (File name: rasany6038.htm)
   
• Adam Gellis, Davis Wealth Enhancement Group, May 7, 2004 (File name: agellis050704.txt)
   
• Gary D. Richmond, Sr., May 7, 2004 (File name: gdrichmond050704.txt)
   
• Joan M. Halstead, May 7, 2004 (File name: jmhalstead050704.txt)
   
• Thomas W. Pringle, Registered Principal, Mutual Service Corporation, Avon, Connecticut, May 7, 2004, (File name: twpringle1187.htm)
   
• Lyn Quarantello, CFP, May 7, 2004 (File name: lquarantello050704.txt)
   
• Litchfield, Nelson & Co - Naples, Florida, May 7, 2004 (File name: litchfield050704.txt)
   
• William R. Hoffman, May 7, 2004 (File name: wrhoffman050704.txt)
   
• Kevin Rossdeutscher, May 7, 2004 (File name: krossdeutscher050704.txt)
   
• Gary A. Sanders, Senior Counsel - Law and Government Relations, National Association of Insurance and Financial Advisors, May 7, 2004 (File name: naifa050704.pdf)
   
• Arthur F Grant, President, Cadaret Grant, May 6, 2004, (File name: s70904-101.pdf)
   
• Thomas W. Pringle, Mutual Service Associates, May 6, 2004, (File name: s70904-96.pdf)
   
• Marvin R. Souchek, May 6, 2004 (File name: mrsouchek050604.pdf)
   
• Carl H. Stocker, May 6, 2004 (File name: chstocker050604.txt)
   
• Jane Bragg, CFP, Fresno, California, May 6, 2004, (File name: jbragg3722.htm)
   
• Richard W. Budman, CLU, ChFC, May 6, 2004 (File name: rwbudman050604.txt)
   
• Steve Maddox, SunAmerica Securities, May 6, 2004 (File name: smaddox050604.txt)
   
• Michael J. Durkin , CFP, CFS, Cincinnati, Ohio, May 6, 2004, (File name: mjdurkin2443.htm)
   
• James W. Rau, May 6, 2004 (File name: jwrau050604.txt)
   
• Glen J. Lutz, Registered Principal and Licensed Tax Consultant, Eugene, Oregon, May 6, 2004, (File name: gjlutz8613.htm)
   
• August DiVito, May 6, 2004 (File name: adivito050604.txt)
   
• Richard S. Whelpley, Groton, Massachusetts, May 6, 2004, (File name: rswhelpley4585.htm)
   
• Louis V. Santoro, May 6, 2004 (File name: lvsantoro050604.txt)
   
• Donna M. Wolf, CFP, Wolf Investment Services, Inc., May 6, 2004 (File name: dmwolf050604.txt)
   
• David O'Block, CFP, RFC, The Equity Advisor Group, Inc, May 6, 2004 (File name: doblock050604.txt)
   
• Paul R. Hoffman, Registered Representative / Registered Principle, Appleton, Wisconsin, May 6, 2004, (File name: prhoffman6447.htm)
   
• Robert Karp, CFP, SunAmerica Securities, Inc., May 6, 2004 (File name: rkarp050604.txt)
   
• Kathleen Browning Ceicys, MBA, President, Wilson Browning Financial Services, Cleveland , Ohio, May 6, 2004, (File name: kbrowningceicys4863.htm)
   
• David R. Butts, CFP, CMFC, Past Chair N.E. Michigan IAFP, Saginaw, Michigan, May 6, 2004, (File name: drbutts6515.htm)
   
• Eric J. Connors, May 6, 2004 (File name: ejconnors050604.txt)
   
• James Rowe, May 6, 2004 (File name: jamesrowe050604.txt)
   
• Mike Woods, LUTCF, CFS, Carl H. Stocker & Associates, May 6, 2004 (File name: mwoods050604.txt)
   
• Martha Seidl, CFP, Mutual Service Corporation, May 6, 2004 (File name: mseidl050604.txt)
   
• Susan Sommer, CFS, CFP, Sommer Investments, L.L.C., May 6, 2004 (File name: sussommer050604.txt)
   
• Scott E. Bordelon, CFP@, AAMS, Financial & Investment Management Advisors, Inc., May 6, 2004 (File name: sebordelon050604.txt)
   
• John S. Ruzza, CFP, May 6, 2004 (File name: jsruzza050604.txt)
   
• Donald F. White, President, Treasure Coast Financial Services, Inc., May 6, 2004 (File name: dfwhite050604.txt)
   
• Kevin J. Moree, CFP, May 6, 2004 (File name: kjmoree050604.txt)
   
• Raymond P. Bradley, Registered Representative, Mutual Service Corp., ChFC, CLU, Ephrata, Puerto Rico, May 6, 2004, (File name: rpbradley7474.htm)
   
• L. Thomas Robertson, CFP, DeLand, Florida, May 6, 2004 (File name: ltrobertson050604.txt)
   
• Edward C. Skelly, ChFC, Series 7 Registered Rep Numerous Industry Affiliations, Sterling, Virginia, May 6, 2004, (File name: ecskelly1491.htm)
   
• Robert O. Troxell, Registered Representative of Mutual Service Corporation, Hanover, Pennsylvania, May 6, 2004, (File name: rotroxell9541.htm)
   
• Sean Frederick Milner, John Hancock Financial Services, May 5, 2004 (File name: sfmilner050504.txt)
   
• Carl Henderson, Registered Representative, MK Financial Group, Inc., May 5, 2004, (File name: s70904-94.pdf)
   
• Michael P. Kratzer, CLU, LUTCF, Registered Representative, MK Financial Group, Inc., May 5, 2004, (File name: s70904-97.pdf)
   
• Dan Jamieson, May 5, 2004 (File name: djamieson050504.pdf)
   
• Louis W. Meyer, V, Boardroom Advisory Group, Cincinnati, Ohio, May 5, 2004 (File name: lwmeyer050504.txt)
   
• Chris DiVito, May 5, 2004 (File name: cdivito050504.txt)
   
• Dennis P. Joppe, CFP, CFS Registered Representative, Registered Principal, May 5, 2004 (File name: dpjoppe050504.txt)
   
• Gary Frank, May 5, 2004 (File name: gfrank050504.txt)
   
• Gary J. Gulemi, May 5, 2004 (File name: gjgulemi050504.txt)
   
• Gassan Kassira, May 5, 2004 (File name: gkassira050504.txt)
   
• James W. Noel, May 5, 2004 (File name: jwnoel050504.txt)
   
• Gerald W. Parent, CLU, ChFC, CLTC, Mutual Service Corporation Branch Office, Assonet, MA, May 5, 2004 (File name: gwparent050504.txt)
   
• Jim Franceus, CFP, Senior Financial Advisor, Summit Financial Advisors, Inc., May 5, 2004 (File name: jfranceus050504.txt)
   
• John R. Bauer, Mutual Service Corporation, May 5, 2004 (File name: jrbauer050504.txt)
   
• John H. Berry, President, JHB Financial Associates, May 5, 2004 (File name: jhberry050504.pdf)
   
• John Scott Harvey, May 5, 2004 (File name: jsharvey050504.txt)
   
• John Lotshaw, May 5, 2004 (File name: jlotshaw050504.txt)
   
• Julie A. Gaittens, CFP, May 5, 2004 (File name: jagaittens050504.txt)
   
• Kelly L. Higgins, Financial Advisor, Retirement Specialist, Center for Financial Management One, L.L.C., May 5, 2004 (File name: klhiggins050504.txt)
   
• Mark C. Royal, CLU, CFP, May 5, 2004 (File name: mcroyal050504.txt)
   
• Paul Byma, May 5, 2004 (File name: pbyma050504.txt)
   
• Paul Matson, SunAmerica Securities, Lexington, Nebraska, May 5, 2004 (File name: pmatson050504.txt)
   
• Reed H. Moore, Registered Representative, May 5, 2004 (File name: rhmoore050504.txt)
   
• Rick Settles, May 5, 2004 (File name: rsettles050504.txt)
   
• Sandra M. Pazanin, CFP, Registered Principal, May 5, 2004 (File name: smpazanin050504.txt)
   
• Skip Raymond, Raymond Wesley, May 5, 2004 (File name: sraymond050504.txt)
   
• Steven M. Singer, Mutual Service Corporation, May 5, 2004 (File name: smsinger050504.txt)
   
• Thomas L. Hudson, St. Louis, Missouri, May 5, 2004, (File name: tlhudson2408.htm)
   
• Steven A. Snapp, Hutchinson, Minnesota, May 5, 2004, (File name: sasnapp7545.htm)
   
• Valerie J. Knisley, CPA, CFP, Registered Representative, Mutual Service Corp., Middletown, Pennsylvania, May 5, 2004, (File name: vjknisley2569.htm)
   
• Charles L. Stanley, Jr, California registered Investment Advisor, Escondido, California, May 5, 2004, (File name: clstanley5779.htm)
   
• Mark R. Richter, RIA Assoc. Mutual Service Corp, Federal Way, Washington, May 5, 2004, (File name: mrrichter3991.htm)
   
• Greg LaPierre, Financial Planner, Portsmouth, New Hampshire, May 5, 2004, (File name: glapierre7825.htm)
   
• Adam J. Makkai, Registered Representative, Mutual Service Corporation and Finance Professor, Regis University, Greenwood Village, Colorado, May 5, 2004, (File name: ajmakkai6274.htm)
   
• Michael Stephens CLU, CFP, Stevens Financial & Insurance Services, May 4, 2004, (File name: s70904-93.pdf)
   
• Jon S. Fossel, Double F Ranch, Ennis, Montana, May 3, 2004, (File name: s70904-158.pdf)
   
• John V. Hogin, Jr. CLU, CSA, Registered Investment Advisor Hogin Financial and Insurance Services, Inc., May 3, 2004, (File name: s70904-95.pdf)
   
• Carol A. Anderson, LUTCF, CFP, Registered Representative, Financial Network Investment Corporation, May 3, 2004 (File name: caanderson050304.txt)
   
• Brian Ashe, May 3, 2004 (File name: bashe050304.txt)
   
• Nancy Wheeler Bertacini, Registered Representative, Financial Network Investment Corporation, May 3, 2004 (File name: nwbertacini050304.txt)
   
• Douglas R. Clelan, CLU, ChFC, Clelan and Company, May 3, 2004 (File name: drclelan050304.txt)
   
• Michael H. Freedman, Michael Freedman Assoc, May 3, 2004 (File name: mhfreedman050304.txt)
   
• Patrick C. Robison, CLU, ChFC, May 3, 2004 (File name: pcrobison050304.txt)
   
• Terry Curnes, ChFC, May 3, 2004 (File name: tcurnes050304.txt)
   
• Fred Nicol, April 30, 2004 (File name: fnicol043004.txt)
   
• Michael E. Ludwig, CLU, LUTCF, Financial Consultant, Assistant Vice President-Investment Services Group, Bangor Savings Bank, Bangor, ME, April 30, 2004 (File name: meludwig043004.txt)
   
• Mel Hudson, April 30, 2004 (File name: mhudson043004.txt)
   
• Louis Passauer, April 30, 2004 (File name: lpassauer043004.txt)
   
• Ronald G Pray, CLU, April 30, 2004 (File name: rgpray043004.txt)
   
• Nicholas H. Phelps, April 30, 2004, (File name: s70904-90.pdf)
   
• Anonymous reviewer, April 29, 2004 (File name: econstituent042904.txt)
   
• Robert Lannan, CLU, ChFC, North Star Resource Group, April 29, 2004, (File name: s70904-89.pdf)
   
• Carter Marsden, April 29, 2004, (File name: cmarsden042904.txt)
   
• Brad Skiles, Woolman Financial Group, Warsaw, IN, April 29, 2004, (File name: bstiles042904.txt)
   
• Ben Freedman, CLU, April 29, 2004, (File name: bnfreedman042904.txt)
   
• Robin T. Naylor, Investment Advisor Representative, Pacific West Financial Consultants, Inc., Covington, WA, April 29, 2004, (File name: rnaylor042904.txt)
   
• Nicholas A. Filing, April 29, 2004, (File name: nfiling042904.txt)
   
• Mark Sorlie, CFP, CLU, ChFC, Northwestern Mutual Financial Network, Billings MT, April 29, 2004, (File name: msorlie042904.txt)
   
• John Jay John, Faith Financial Planners, Inc., Forest Hill, MD, April 29, 2004, (File name: jjohn042904.txt)
   
• Jack L. Vandy Bogurt, Marshall, MI, April 29, 2004, (File name: jbogurt042904.txt)
   
• G. Ted Coene, FIC, LUTCF, Financial Associate, Redondo Beach, CA, April 29, 2004, (File name: gcoene042904.txt)
   
• F. Bonners, April 29, 2004, (File name: fbonners042904.txt)
   
• Michael P. Austin, CFP, April 29, 2004, (File name: maustin042904.htm)
   
• Randall Gene Knowles, Chartered Financial Consultant, Certified Financial Planner(tm), LUTC Fellow, April 29, 2004, (File name: rgknowles042904.htm)
   
• Tony Mattar, Mattar Financial, April 29, 2004, (File name: tmattar042904.htm)
   
• Richard Strelec, Financial Advisor, Raymond James Financial Services, Inc (Member NASD/SIPC), April 29, 2004, (File name: rstrelec042904.htm)
   
• Penny K. Righthand, April 29, 2004, (File name: prighthand042904.htm)
   
• Stephen L. Day, CLU, ChFC, MetLife Financial Services, April 29, 2004, (File name: sday042904.htm)
   
• Bart Needles LUTCF, AXA Advisors, April 29, 2004, (File name: bneedles042904.htm)
   
• Joe Kallemeyn, April 29, 2004, (File name: jkallemeyn042904.htm)
   
• Terry C. Fay, Altamonte Springs, Florida, April 29, 2004, (File name: tfay042904.htm)
   
• Mobeen Shirazi, Columbus, Ohio, April 29, 2004, (File name: mshirazi042904.htm)
   
• Tim Cardwell, April 29, 2004, (File name: tcardwell042904.htm)
   
• Charles Dinklage, Financial Consultant, AXA Advisors, LLC, April 29, 2004, (File name: cdinklage042904.htm)
   
• Andrew J. Barnett, CLU, ChFC, President, Estate Strategies Inc., April 29, 2004, (File name: abarnett042904.htm)
   
• Arthur Gruber, CLU, April 29, 2004, (File name: agruber042904.htm)
   
• Kenneth T. Podell, Registered Representative, MML Investment Services, Inc., April 29, 2004, (File name: kpodell042904.htm)
   
• David L. Berman, CFP, CLU, Berman McAleer, Inc., April 29, 2004, (File name: dberman042904.htm)
   
• John Tuttle, Northwestern Mutual Financial Network, April 29, 2004, (File name: jtuttle042904.htm)
   
• David J. Moffett, CLU, ChFC, Financial Representative, Northwestern Mutual Financial Network, April 29, 2004, (File name: dmoffett042904.htm)
   
• William E. Myers, Teutopolis, Illinois, April 28, 2004, (File name: wmyers042804.htm)
   
• Charles C. Jones CLU/ChFC, AEP, April 28, 2004, (File name: cjones042804.htm)
   


• David S. Spellman, President, Pratt Financial Group, Inc., April 28, 2004, (File name: dspellman042804.htm)
   


• Genovese, Forman & Burford, April 28, 2004, (File name: gfb042804.pdf)
   


• Richard G. Steinbrueck, F.I.C., CFP®, Financial Associate #190-04842, Florida License A253450 Also licensed in Wisconsin, Minnesota, Missouri, New York and Tennessee, Thrivent Investment Management, Inc., April 28, 2004, (File name: rsteinbrueck042804.htm)
   


• Scott H. Zoellner, Registered Representative, Foster Klima & Company, LLC, April 28, 2004, (File name: szoellner042804.htm)
   


• Steve Van Scoik, Registered Representative, Holmes Insurance, April 28, 2004, (File name: svanscoik042804.htm)
   


• Lori Walsh, Financial Economist, Office of Economic Analysis, U.S. Securities and Exchange Commission, April 26, 2004, (File name: lwalsh042604.pdf)
   
• Donald Steinmann, Investment Advisor, Woodland Hills, California, April 14, 2004, (File name: dsteinmann041404.htm)
   
• Ryan Wilson, CPA, CFP, Scranton, Pennsylvania, April 13, 2004, (File name: rwilson041304.htm)
   
• Neal A. Thomas, NAIFA SFSP CLU ChFC, Lincoln, Nebraska, April 9, 2004, (File name: nthomas040904.htm)
   
• Karl Smrekar, Allegheny Investments/Allegheny Financial Group, Pittsburgh, PA, April 6, 2004 (File name: ksmrekar040604.txt)
   
• Hawley H. MacLean, Reno, NV, April 6, 2004 (File name: s70904-110.pdf)
   
• Marshall E. Blume, Howard Butcher Professor of Financial Management, The Wharton School, University of Pennsylvania, Philadelphia, PA, April 5, 2004 (File name: meblume040504.txt)
   
• Robert W. Haugan, Esquire, Laguna Hills, California, March 31, 2004, (File name: rwhaugan9082.htm)
   
• Doug Head, March 20, 2004 (File name: s70904-80.pdf)
   
• Scott T. Hanson, CFP, Senior Advisor, Hanson McClain, Inc., Sacramento, California, March 30, 2004 (File name: sthanson2252.htm)
   
• Kent A. Meredith, San Ramon, California, March 29, 2004 (File name: kameredith5803.htm)
   
• Debbie Hunt-Scribner, March 28, 2004 (File name: dhunt-scribner03282004.txt)
   
• James A. Matzger, Owner - Plan Tech Financial, Los Gatos, California, March 26, 2004 (File name: jamatzger2929.htm)
   
• Lawrence R. Sherman, CFP, Sherman, Werst Company, Inc., Lancaster, Pennsylvania, March 24, 2004, (File name: lrsherman9121.htm)
   
• Pamela S. Lanyon, Bridgeport, Connecticut, March 18, 2004, (File name: pslanyon3592.htm)
   
• Scott Garnett, Account Vice President, UBS, Richmond, Virginia, March 18, 2004, (File name: sgarnett1827.htm)
   
• Christina Angell, March 17, 2004, (File name: cangell03172004.htm)
   
• Scott A. Garnett, CFP, Richmond, Virginia, March 17, 2004, (File name: sagarnett9923.htm)
   
• Joe Collins, March 17, 2004, (File name: jcollins03172004.htm)
   
• Mitchell M. Merin, President and Chief Operating Officer Investment Management, of Morgan Stanley, March 15, 2004, (File name: s70904-70.pdf)
   
• Robert H. FitzSimmons, CFP, March 15, 2004, (File name: rfitzsimmons03152004.htm)
   
• Thomas C. Paron, RFC, CFC, of Compass Capital Management, March 13, 2004, (File name: tparon03132004.htm)
   
• Charles B. Milliken, CFP, Registered Principal, Mutual Service Corporation, Farmington Hills, Michigan, March 9, 2004, (File name: cbmilliken6595.htm)
   
• Donna M. Wolf, CFP, Mequon, Wisconsin, March 8, 2004, (File name: dmwolf4439.htm)
   
• Chris J. DiVito, CLU, CHFC, Mutual Service Corp, Westlake, Ohio, March 8, 2004, (File name: cjdivito4768.htm)
   
• Anthony Luzzi, Sterling, Massachusetts, March 7, 2004, (File name: aluzzi8153.htm)
   
• Albert T. Gerra, Bethlehem, Pennsylvania, March 5, 2004, (File name: atgerra9645.htm)
   
• Doctor Amazing, March 5, 2004, (File name: damazing4101.htm)
   
• Randy Nicholls, Registered Principal, Mutual Service Corporation, Auburn, Washington, March 5, 2004, (File name: rnicholls9947.htm)
   
• Gregory P. Fasig, Investment Officer, Reliance Financial Services, N.A., Defiance, Ohio, March 5, 2004, (File name: gpfasig2437.htm)
   
• Darron R. Bergstrom, Mutual Service Corporation, Corpus Christi, Texas, March 5, 2004, (File name: drbergstrom2816.htm)
   
• Kevin B. McGrath, Southborough, Massachusetts, March 5, 2004, (File name: kbmcgrath1419.htm)
   
• Ronald J. Abdow, Independent Director for Mass Mutual's Family of Mutual Funds and a Director of Oppenhiemer Board IV, March 4, 2004, (File name: s70904-31.pdf)
   
• Brodie Landry, Certified Fund Specialist, Lafayette, Louisiana, March 4, 2004, (File name: blandry5818.htm)
   
• Lloyd D. Lowe, Sr., Frisco, Texas, March 4, 2004, (File name: ldlowe7344.htm)
   
• David Warner, CFA, March 3, 2004, (File name: dwarner03032004.htm)
   
• Charles Bremer, CFP MCRS, President, of Financial Directors, March 3, 2004, (File name: cbremer03032004.htm)
   
• Marianne Wisner, Westlake, Ohio, March 3, 2004, (File name: mwisner5127.htm)
   
• James P. Ruth, CFP, Member, Financial Planning Association, Gaithersburg, Maryland, March 3, 2004, (File name: jpruth8993.htm)
   
• Daniel T. Griner, Reg. Rep., Mutual Service Corporation, Bellevue, Washington, March 3, 2004, (File name: dtgriner9599.htm)
   
• Reed Moore, Registered Representative, Registered Principle, Federal Way , Washington, March 3, 2004, (File name: rmoore1207.htm)
   
• Kevin Bankerd, Owner-Bankerd Financial Services, Tomball, Texas, March 3, 2004, (File name: kbankerd9225.htm)
   
• Denise A. Izatt, Oak Brook, Illinois, March 3, 2004, (File name: daizatt6438.htm)
   
• Mark R. Sprouse, Redlands, California, March 3, 2004, (File name: mrsprouse3164.htm)
   
• John P. Andrew, CRS, Plymouth, Minnesota, March 3, 2004, (File name: jpandrew2761.htm)
   
• Patrick M. Stenson, Plymouth, Minnesota, March 3, 2004, (File name: pmstenson3559.htm)
   
• William M. Hay, Reg. Rep., Polar Investment Counsel, Inc., New Richmond, Wisconsin, March 3, 2004, (File name: wmhay7247.htm)
   
• Marvin L. Mann, Chairman of the Independent Trustees, The Fidelity Funds, March 2, 2004 (File name: s70904-4.pdf)
   
• David J. Romagosa, CFP, MSFS, Adjunct Faculty, University of Louisiana at Lafayette and CFP, Lafayette, Louisiana, March 2, 2004, (File name: djromagosa4244.htm)
   
• Joseph T. Mann, CEO, MBA Financial Advisors, Atlanta, Georgia, March 2, 2004, (File name: jtmann5897.htm)
   
• David Howe, Flagstaff, Arizona, March 2, 2004, (File name: dhowe3023.htm)
   
• Alan W. Takahashi, Sun Valley, California, March 2, 2004, (File name: awtakahashi4418.htm)
   
• Reed H. Moore, Registered Representative, Registered Principle, Federal Way , Washington, March 2, 2004, (File name: rhmoore2636.htm)
   
• Joseph P. Trybula, CFP, Town Country, Missouri, March 2, 2004, (File name: jptrybula6329.htm)
   
• Steven G. Van Scoik, CIC, Elkhart, Indiana, March 2, 2004, (File name: sgvanscoik5186.htm)
   
• Thomas C. Paron, March 2, 2004, (File name: tparon030204.htm)
   
• Marilyn S. Steinmetz, CFP, West Hartford, Connecticut, March 1, 2004, (File name: mssteinmetz5451.htm)
   
• David J. McBride, CPA, CFP, Mesa, Arizona, March 1, 2004, (File name: djmcbride2950.htm)
   
• Craig A. Johnson, Plymouth, Minnesota, March 1, 2004, (File name: cajohnson6114.htm)
   
• Dawn Hollerith, Healdsburg, California, March 1, 2004, (File name: dhollerith2741.htm)
   
• Mary B. Robinson , Vancouver, Washington, March 1, 2004, (File name: mbrobinson7814.htm)
   
• David R. Butts, CFP, CMFC, Saginaw, Michigan, March 1, 2004, (File name: drbutts1685.htm)
   
• Eric B. Landers, Registered Representative, Romeo, Michigan, March 1, 2004, (File name: eblanders4664.htm)
   
• Jeffery L. Smith, Darlington, South Carolina, March 1, 2004, (File name: jlsmith3956.htm)
   
• Richard W. Budman, CLU, ChFC, Allentown, Pennsylvania, March 1, 2004, (File name: rwbudman2193.htm)
   
• Brett A. Young, Olivet, Michigan, March 1, 2004, (File name: bayoung5525.htm)
   
• Eric Jahnke, Branch Office Manager/ MSC Corp, Grand Junction, Colorado, March 1, 2004, (File name: ejahnke1822.htm)
   
• Bart L. McGonnigal, none, Loudonville , New York, March 1, 2004, (File name: blmcgonnigal6677.htm)
   
• Robert M. Wood, Chartered Financial Consultant with American College, Lutz, Florida, March 1, 2004, (File name: rmwood1827.htm)
   
• David W. Boyer, Puyallup, Washington, March 1, 2004, (File name: dwboyer5236.htm)
   
• Richard Von Luft, Registered Securities Principal, La Habra, California, March 1, 2004, (File name: rvonluft5815.htm)
   
• Jack Gambetta, CFP, Past member Board of Directors, Financial Planning Assoc. Cincinnati Chapter, Cincinnati, Ohio, March 1, 2004, (File name: jgambetta6544.htm)
   
• Geoffrey L. London, Financial Advisor with New Era Financial Advisors Mutual Service Corp, Mpls, Minnesota, March 1, 2004, (File name: gllondon9427.htm)
   
• J. Mitchell, March 1, 2004, (File name: jmitchell1672.htm)
   
• Michael T. Shuttlesworth, Tuscaloosa, Alabama, March 1, 2004, (File name: mtshuttlesworth6718.htm)
   
• John S. Beall, ChFC,CLU,LUTCF, LIC, Berrien Springs, Michigan, March 1, 2004, (File name: jsbeall5855.htm)
   
• Michael J. Durkin, CFP, Cincinnati, Ohio, March 1, 2004, (File name: mjdurkin4994.htm)
   
• Tim R. Guthrie, CFP, Bullseye Investment Strategies, Russellville, Ohio, March 1, 2004, (File name: trguthrie2961.htm)
   
• Ronald J. Bickford, CFP, Minneaoplis, Minnesota, March 1, 2004, (File name: rjbickford4978.htm)
   
• Gloria Vonderheide, ChFC, Registered Representative Mutual Service Corp, Grand Rapids, Michigan, March 1, 2004, (File name: gvonderheide5502.htm)
   
• Lynn M. Vance, CFP, March 1, 2004, (File name: lmvance2936.htm)
   
• John H. Robinson, February 29, 2004, (File name: jrobinson022904.htm)
   
• Alain Nicolas, Roanoke , Virginia, February 28, 2004, (File name: anicolas4329.htm)
   
• Jack Thomas, February 26, 2004, (File name: jthomas9721.htm)
   
• Joel N. Williams, Silver Spring, Maryland, February 26, 2004, (File name: jnwilliams5482.htm)
   
• David H. McIntosh, Egg Harbor Twp., New Jersey, February 26, 2004, (File name: dhmcintosh7882.htm)
   
• Dan Jamieson, February 26, 2004, (File name: djamieson022604.htm)
   
• Randolph Gregg, President, Mutual Funds Investment Company, February 13, 2004, (File name: s70904-1.pdf)
   
• Colin F Smith, Director of Investments, The Retirement Company, LLC, Cleveland,, Ohio, February 18, 2004, (File name: cfsmith7628.htm)
   
• William F. Schoell, February 18, 2004 (File name: wfschoell021804.txt)
   
• Joseph A. Zelson, February 18, 2004 (File name: s70904-3.pdf)
   
• Jim Hergenroeder, Accredited Asset Management Specialist, Vice President - Investments, February 12, 2004 (File name: jhergenroeder021204.txt)
   
• Donald C. Friedmann, February 12, 2004, (File name: dfriedmann02122004.htm)
   
• Rick Ans, February 11, 2004 (File name: rans021104.txt)
   

http://www.sec.gov/rules/proposed/s70904.shtml