Comments on Interim Final Rule: Definition of Terms in and Specific Exemptions for Banks, Savings Associations, and Savings Banks Under Sections 3(a)(4) and 3(a)(5) of the Securities Exchange Act of 1934

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

Comment
A: 15

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Date Received
Date Letter Type Commenter Name
Public Comment Barry P. Harris, Chairman, Bank Retail Broker Dealer Committee of the Securities Industry Association
Public Comment Charles R. Lee, Vice President, Director of Bank Administration, MidFirst Bank, Oklahoma City, Oklahoma
Public Comment Christiane G. Hyland, Executive Director, The Association of Corporate Credit Unions
Public Comment Cynthia J. Crass, Callister Nebeker & McCullough, Salt Lake City, UT
Public Comment Dan Kempen, President and Chief Executive Officer, U.S. Central Credit Union
Public Comment Dennis Dollar, Acting Chairman, The National Credit Union Association
Public Comment Douglas F. Duerr, President and Chief Executive Officer, National Association of State Credit Union Supervisors
Public Comment Edward L. Yingling, Deputy Executive Vice President and Executive Director, American Bankers Association and Beth L. Climo, Executive Director, ABA Securities Association
Public Comment Fred Becker, Jr., President and Chief Executive Officer, National Association of Federal Credit Unions
Public Comment Gerald M. Noonan, President, The Connecticut Bankers Association
Public Comment Guy A. Messick, General Counsel, National Association of Credit Union Service Organizations
Public Comment James S. Keller, Chief Regulatory Counsel, PNC Financial Services Group, Inc., Pittsburgh, PA
Public Comment Jeffrey Bloch, Assistant General Counsel, Credit Union National Association
Public Comment Jeffrey S. Missman, Vice President, Director-Regulatory Compliance, Commerce Bancshares Inc., Kansas City, MO
Public Comment Jerry W. Powell, General Counsel, Compass Bancshares, Birmingham, AL
Public Comment Lawrence A. Knecht, Senior Vice President and Legal Counsel, UMB Bank N.A.
Public Comment Lawrence R. Uhlick, Executive Director and General Counsel, The Institute of International Bankers
Public Comment Neil Milner, President and Chief Executive Officer, Conference of State Bank Supervisors
Public Comment Norimichi Kanari, President and Chief Executive Officer, Union Bank of California, San Francisco, CA
Public Comment Richard H. Johnson II, Stoel Rives LLP, Salt Lake City, UT
Public Comment Rick D. Burtenshaw, Senior Vice President, Investment Division, Zions First National Bank
Public Comment Robert I. Gulledge, Chairman, The Independent Community Bankers of America
Public Comment Samuel E. Upchurch, Jr., Executive Vice President, General Counsel and Secretary, Regions Financial Corporation
Public Comment Stewart P. Greene, Chief Counsel, Securities Law, Teachers Insurance and Annuity Association-College Retirement Equities Fund
Public Comment Ted T. Cecala, Chairman and Chief Executive Officer, Wilmington Trust Company, Wilmington, DE
Public Comment A. Scott Anderson, President and Chief Executive Officer, Zions First National Bank
Public Comment Bruce D. Greenspan, Senior Vice President - Trust and Investment Management Services, Vista Bank, Phillipsburg, NJ
Public Comment Ellen C. Tarkington, Vice President-Trust Officer and Bill Strait, Vice President-Trust Officer
Public Comment John F. Kozlowski, General Counsel, The Ohio Credit Union League
Public Comment Michael E. Bleier, Mellon Bank, N.A.

Last Reviewed or Updated: Dec. 18, 2025

File Number
S7-12-01
Release Number
34-44291
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