Comments on Proposed Rule: Confirmation Requirements and Point of Sale Disclosure Requirements for Transactions in Certain Mutual Funds and Other Securities, and Other Confirmation Requirement Amendments, and Amendments to the Registration Form for Mutual Funds

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

Comment
A: 2,687
B: 52
C: 14
D: 75
E: 90
F: 58
G: 633
H: 9
I: 2
J: 2043
K: 1,603
L: 113
M: 313
N: 4
O: 5

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Date Received
Date Letter Type Commenter Name
Public Comment Ronnie D. Sellers
Meeting with SEC Officials Memorandum from the Executive Staff regarding a April 20, 2006 meeting with representatives of NewRiver Inc. and Pickard & Djinis LLP
Meeting with SEC Officials Memorandum from the Executive Staff regarding a April 12, 2006 meeting with representatives of the Investment Company Institute
Public Comment Bryan Thompson, Dallas, Texas
Public Comment William A. Meserve, Indianapolis Nafia (Board Member), Indianapolis, Indiana
Public Comment Joseph F. Marshall
Public Comment Lloyd Lokka, Fallbrook, California
Public Comment R. August Kempf, CLU, CFP, Financial Planner, Registered Principal, and Registered Investment Advisor, Redmond, Washington
Public Comment Arno Berry, Operations Manager, Zahorik Financial Services, Inc.
Public Comment Max L. Harris, Registered Representative, Irvine, California
Meeting with SEC Officials Memorandum from the Division of Market Regulation regarding a call from F. Walter Savage
Public Comment Stephen A. Keen, Pittsburgh, Pennsylvania
Public Comment John Doe, Boston, Massachusetts
Public Comment Roland Beaulieu, President/CEO, NewRiver, Inc.
Public Comment Don Davis
Public Comment Carol Aris, Redwood City, California
Public Comment Mary L. Schapiro, Vice Chairman, NASD President, Regulatory Policy and Oversight
Public Comment Robert P. Kahmer, CPA, AICPA, Baltimore, Maryland
Public Comment Tim Berry, Chair, College Savings Plans Network, Indiana State Treasurer
Public Comment Elizabeth Alpert, Scottsdale, Arizona
Meeting with SEC Officials Memorandum from the Division of Market Regulation regarding a June 2, 2005 meeting with representatives of the Securities Industry Association
Meeting with SEC Officials Memorandum from the Office of Commissioner Atkins regarding a June 7, 2005 meeting with representatives from the Financial Services Institute, 1st Global, Mutual Service Corporation and Bingham McCutchen
Meeting with SEC Officials Memorandum from the Office of Commissioner Glassman regarding a May 26, 2005 meeting with representatives of the National Association Securities Dealers
Meeting with SEC Officials Memorandum from the Office of Commissioner Glassman regarding a meeting with respresentatives of the Financial Services Institute
Public Comment Paul Carrigan, Jr., Sacramento, California
Public Comment Results of Investor Interviews to Test Oral Point of Sale Disclosure
Public Comment Results of Investor Interviews to Test and Refine Point of Sale Disclosure Forms
Meeting with SEC Officials Memorandum from Commissioner Atkins Office regarding a meeting with representatives from NASD
Public Comment Eric J. Neumann, President, Neumann Investment Services, Ashburn, Virginia
Public Comment Kenneth W. Stephan, registered financial consultant and author, Pittsburgh, Pennsylvania

Last Reviewed or Updated: Dec. 18, 2025

File Number
S7-06-04
Release Number
33-8358
34-49148
IC-26341
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