Comments on Interpretive Rule: Commission Guidance Regarding Client Commission Practices Under Section 28(e) of the Securities Exchange Act of 1934

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Date Received
Date Letter Type Commenter Name
Public Comment Christopher Buck, Executive Director, UBS Securities LLC, Stamford, Connecticut
Public Comment Wayne B. McAlpine, President, Commission Direct Inc.
Public Comment John M. Connolly, President and CEO, International Shareholder Services Inc.
Public Comment Ira D. Hammerman, Senior Vice President and General Counsel, Securities Industry Association
Meeting with SEC Officials Memorandum from the Division of Market Regulation regarding a November 29, 2005 meeting between members of the Division of Market Regulation and Jeffrey Brown and David Canter of Charles Schwab & Co., Inc.
Public Comment Carlos W. Morales, Senior Vice President and Associate General Counsel, Merrill Lynch & Co., Inc.
Public Comment Stuart Karle, General Counsel, the Wall Street Journal on behalf of Dow Jones & Company, Inc.
Public Comment David W. Miller, Vice President and Assistant General Counsel, J.P. Morgan Securities Inc.
Public Comment Gary W. Findlay, Executive Director, Missouri State Employees Retirement System, Jefferson City, Missouri
Public Comment Jams A Duncan, Chairman and John C. Giesea, President & CEO, Security Traders Association
Public Comment Thomas F. Lamprecht, Philadelphia, Pennsylvania
Public Comment Alexandra Stocker, CEO, Sanderson & Stocker, Inc., Ithaca, New York
Public Comment Allan S. Mostoff, President, Mutual Fund Directors Forum
Public Comment Deborah Doyle McWhinney, President, Charles Schwab & Co., Inc.
Public Comment Henry H. Hopkins, Vice President and Chief Legal Counsel; and David Oestreicher, Vice President and Associate Legal Counsel, T. Rowe Price Associates, Inc.
Public Comment Jack Curran, FinTech Securities, Atlanta, Georgia
Public Comment Joseph M. Velli, Senior Executive Vice President, BNY Securities Group on behalf of The Bank of New York Company, Inc.
Public Comment Justin T. Kane, Director of Equity Trading, and Mark H. Dawson, CFA, Principal, Rainier Investment Management, Inc.
Public Comment Ken Hight, Executive Vice President, E*TRADE Financial Corporation
Public Comment Kurt N. Schacht, CFA, Executive Director, and Jonathan A. Boersma, CFA, Director, Standards of Practice, CFA Centre for Financial Market Integrity, CFA Institute
Public Comment Paul Schott Stevens, President, Investment Company Institute
Public Comment Saul P. Sarrett, Director, Deputy General Counsel, ITG Inc., New York, New York
Public Comment Thomas G. Shugrue, President, Carolina Capital Markets, Inc., Chapel Hill, North Carolina
Public Comment Gordon Midgley, Director of Research, IMA, London, England
Public Comment John Kay, Chairman and Hans Plugge, Director, European Association of Independent Research Providers
Public Comment Barbara Roper, Director of Investor Protection, Consumer Federation of America; Mercer Bullard, President and Founder, Fund Democracy
Public Comment Barry P. Harris, IV, Ward and Smith, P.A, on behalf of First-Citizens Bank & Trust Company
Public Comment Grady G. Thomas, Jr., President, The Interstate Group, Division of Morgan Keegan & Company, Inc., Charlotte, North Carolina
Public Comment James H. Bodurtha, Chairman, Independent Directors Council
Public Comment John G. Gaine, President, Managed Funds Association

Last Reviewed or Updated: Dec. 18, 2025

File Number
S7-09-05
Release Number
34-52635
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