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 Kristi P. Wetherington, President, Capital Institutional Services, Inc., Dallas, Texas
Public Comment Lee A. Pickard, Esq., The Alliance In Support Of Independent Research, Washington, DC, District of Columbia
Public Comment Monique S. Botkin, Counsel, Investment Adviser Association
Public Comment Sarah A. Miller, Director Center for Securities, Trust and Investments, American Bankers Association
Public Comment Seward & Kissel LLP
Public Comment Thomas G. Shugrue, President, Carolina Capital Markets, Inc., Chapel Hill, North Carolina
Public Comment Charlotte Roederer, Esquire, Attorney in Private Practice, Amherst, New York
Public Comment Christiana Wood, CFA, Senior Investment Officer - CalPERS
Public Comment David Quinlan, President, Eze Castle Software, Inc., Boston, Massachusetts
Public Comment Joan Hinchman, Executive Director, President and CEO, National Society of Compliance Professionals
Public Comment Kim Bang, Bloomberg L.P.
Public Comment Michael E. Bleier, General Counsel, Mellon Financial Corporation, Pittsburgh, Pennsylvania
Public Comment Bruce R. Bent, Chairman, The Reserve Funds, New York, New York
Public Comment John Eade, et al., Investorside Research Association
Public Comment Michael Donovan L Donovan, Registered Representative, Syracuse, New York
Public Comment Gavin Anderson, President and CEO, GovernanceMetrics International
Public Comment Rita G. Dew, CRCP, Founder and President, National Compliance Services, Inc., Delray Beach, Florida
Public Comment Emmett M. Murphy
Public Comment John W. Adams, Chairman, Adams Harkness
Public Comment Craig Slaughter, Executive Director, West Virginia Investment Management Board
Public Comment David Riedel, Founder, Riedel Research Group, New York, New York
Meeting with SEC Officials Memorandum from the Division of Market Regulation regarding a November 3, 2005 telephonic meeting between members of the Division of Market Regulation and Michael R. Butowsky of Mayer, Brown, Rowe & Maw LLP, dated November 9, 2005
Public Comment Stephen L. Schardin, Managing Director - President Charles RIver Brokerage, LLC, Burlington, Massachusetts
Public Comment Neal J. Dean, Investor, Elk Grove Village, Illinois
Public Comment Bill George, Blue Sky Research Services, Encino , California
Public Comment Junius W. Peake, Monfort Distinguished Professor of Finance, Kenneth W. Monfort College of Business, University of Northern Colorado
Public Comment Bernard Notas
Public Comment Junius W. Peake, Monfort Distinguished Professor of Finance, Kenneth W. Monfort College of Business, University of Northern Colorado
Public Comment Keith L. Shadrick, President, Axia Advisory Corporation, Indianapolis, Indiana
Public Comment William T. George, Blue Sky Research Services, Encino, California

Last Reviewed or Updated: Dec. 18, 2025

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