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 Larry C. Clayton, CLU, Chartered Financial Consultant, CFH Financial Services, Inc.
Public Comment Mary L. Cavanaugh, Executive Vice President and General Counsel, The Variable Annuity Life Insurance Company, Houston, Texas
Public Comment Christopher L. Wassink
Meeting with SEC Officials Memorandum from the Office of Commissioner Glassman regarding a meeting with representatives of the Investment Company Institute, Fidelity Management & Research Company, OppenheimerFunds, Legg Mason and T. Rowe Price Group
Public Comment John Thornes, President, Thornes & Associates, Inc., Redlands, California
Public Comment David Certner, Director, Federal Affairs, AARP
Public Comment Michael J. Mungenast, President, ProEquities, Inc.
Public Comment Timothy U. Morton, President, James Mitchell & Co.
Public Comment Carol W. White and John J. White
Public Comment Jeffrey C. Beadle
Public Comment Kevin B. Ballou, President, Clark Securities, Inc.
Public Comment Reed H. Moore, Federal Way, Washington
Public Comment W. Thomas Boulter, Vice President & CCO, Jefferson Pilot Securities Corporation
Public Comment Art Vandalay, Professor, Manhattan, New York
Public Comment Brad Hess
Public Comment Heidi Stam, Principal, Securities Regulation, The Vanguard Group, Inc.
Public Comment W. Robert Wilson, Advisory Services, LPL
Public Comment Cheryl E. Smith
Public Comment Mike Werkowski, Registered Representative, American Family Insurance
Public Comment Robert C. Skelly, CLU, ChFC, Financial Representative, Northwestern Mutual Financial Network, Westport, Connecticut
Public Comment Robert Norton, Norton Financial Services, LLC
Public Comment Victoria I. Renne, San Dimas, California
Public Comment Michael T. Wahl
Public Comment Ronald C. Long, Regulatory Policy and Administration, and Ryan P. Smith, Regulatory and EDR Attorney; Wachovia Securities, LLC
Public Comment David R. Fulkerson, Troy, Michigan
Public Comment Frank Dealy
Public Comment Leonard Viscito, JD, Register Representative, Springfield, Massachusetts
Public Comment Mark A. Malinski
Public Comment David Bogle, Branch Manager, Tulsa Teachers Credit Union
Public Comment James J. Kropog, Jr., CFP, CDFA, LPL Financial Services

Last Reviewed or Updated: Dec. 18, 2025

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