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 J.V. Malkovich
Public Comment Jack Gambetta, CFP, Terrace Park, Ohio
Public Comment James A. Cox, III, Registered Rep, Mutual Service Corporation, colonial heights, Virginia
Public Comment James B. Loehr, CFP, President, Loehr Financial Planning Services, Inc., Fishers, Indiana
Public Comment Janice Milano, CPA, CFP
Public Comment Jay W. Cohen, AICPA, Atlanta, Georgia
Public Comment Jed A. Friedman, Oak Park, California
Public Comment Jeffery L. Smith, Darlington, South Carolina
Public Comment Jeffrey Clark, CPA
Public Comment Jill Bernhardy, Greenwood Village, Colorado
Public Comment Jo Anne C.R. Leveroni, Braintree, Massachusetts
Public Comment Joan M. Halstead, CLU,ChFC, Owner, Halstead Financial Resources since 1979, Rochester, New York
Public Comment John A. DeSantis, ChFC, Investment Advisor Representative
Public Comment John F. Leonard, III
Public Comment John F. Robbins, MBA, CFP, CSA, FPA, Trenton, Michigan
Public Comment John F. Tubridy, Rochester, New York
Public Comment John R. Carter, CPA, Newport Beach, California
Public Comment John R. Ressler, Mason City, Iowa
Public Comment John S. Harvey, Jackson, Mississippi
Public Comment John W. Cobb, CFP, Brentwood, Tennessee
Public Comment John W. Poff, President, Mutual Service Corporation
Public Comment John Zimmer, CFP, JD, Appleton, Wisconsin
Public Comment Joseph B. Dixon, President, Dixon & Associates Investments, Grosse Ile, Michigan
Public Comment Joyce E. Haniman, Stuart, Florida
Public Comment Jule Butler, Appleton, Wisconsin
Public Comment Julie A. Gaittens, CFP, Gold River, California
Public Comment Julie A. Witthoff, CFP, Registered Representative Series 7, Urbandale, Iowa
Public Comment K. Larry Hastie, Ph.D, President, Pattern Recognition Management, Inc, Ann Arbor, Michigan
Public Comment Karen Dobies, Certified Employee Benefits Consultant, Encino, California
Public Comment Katherine D. Cannon

Last Reviewed or Updated: Dec. 18, 2025

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