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 David O'Block, CFP, RFC, Monroeville, Pennsylvania
Public Comment David R. Butts, Registered Principal, Mutual Service Corporation, Saginaw, Michigan
Public Comment Denise M. Roth, Vice President, West Palm Beach, Florida
Public Comment Dennis Kaminski, Executive Vice President, Mutual Service Corporation
Public Comment Dianne E. Hoeldtke, Oxford, Michigan
Public Comment Donald E. Hedrick
Public Comment Donald F. Codori, Johnston, Rhode Island
Public Comment Donald W. Martyn
Public Comment Douglas A. Becker, Branch Manager, Mutual Service Corp., Hanover, Pennsylvania
Public Comment Douglas J. LaBar, President, Northstar Investment Management
Public Comment Edward C. Hiers, CEO Northeast Planning Associates, Inc., Bedford, New Hampshire
Public Comment Edward C. Skelly, President, Sterling Financial Partners,Inc., Sterling, Virginia
Public Comment Edward G. Knight, CLu, ChFC, Financial Planner, Registered Representative, Plantation, Florida
Public Comment Eric J. Connors, CLU, ChFC, Allentown, Pennsylvania
Public Comment Eric T. Nichols, ChFC, President-Financial Services Firm, Milford, Michigan
Public Comment F. Kneeland Chase, Jr., LPL Financial Advisor, President, Chase Wealth Management
Public Comment Frank R. Carey, EA, NAEA, CSEA, San Dimas, District of Columbia
Public Comment Franz J. Hildebrand, Registered Represenatative, Mutual Service Corp, Seabrook, Texas
Public Comment Gary L. Washburn, Cameron Park, California
Public Comment Gene Lesser, CFP, Los Angeles, California
Public Comment Geoffrey L. London, Mutual Service Corp. financial advisor, Edina, Minnesota
Public Comment George K. Slyman, Jr., Certified Financial Planner, Peterborough, New Hampshire
Public Comment George R. Pierce
Public Comment Gerald W. Parent, Sr., ChFC, Mutual Service Corporation, Assonet, Massachusetts
Public Comment Greg A. Franklin, Registered Rep, Cincinnati, Ohio
Public Comment Harold F. Wiksten, Newburyport, Massachusetts
Public Comment HB Orr, Jr, Owner, Baybridge Financial Group, Tampa, Florida
Public Comment Hugh E. Nichols, Registered Representative, St. Charles, New Brunswick
Public Comment Irene M. Volona-Labonne, CFP, Delavan, Wisconsin
Public Comment J. Derek Lewis, President, JDL Securities Corporation

Last Reviewed or Updated: Dec. 18, 2025

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