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 Michael J. Kelley, CFP, Certified Financial Planner, Indianapolis, Indiana
Public Comment Michael L. Kern, Jr, CFP, Registered Representative, Mutual Service Corporation, Clinton Twp, Michigan
Public Comment Michael P. Hartman, Stuart, Florida
Public Comment Michael Philipp, Registered Representative, Linsco/Private Ledger
Public Comment Michael R. Vitale, St. Louis Park, Minnesota
Public Comment Michael W. Wilson, Redmond, Washington
Public Comment Michael Woods, LUTCF, CFS, Denton, Texas
Public Comment Mike Draska, Investment Advisor, Mutual Service Corp, Waterford, Michigan
Public Comment Neal D. Roberts, CPA/Registed Rep, Appleton, Wisconsin
Public Comment Neal G. Schulte, CPA/CFP, AICPA/OSCPA/FPA/FSI, cincinnati, Ohio
Public Comment Nicholas A. Smith
Public Comment Owen H. Ackerman, Reg Rep, Morton, Illinois
Public Comment Patricia B. Griswold, Grand Rapids, Michigan
Public Comment Paul E. Dillman, CPA, P&L Accouting & Tax Service, Oak Forest, Illinois
Public Comment Peggy W. Lyon
Public Comment Peter A. Beronio, CFP, Registered Principal, Mutual Service Corp, Killeen, Texas
Public Comment Philip J. Anderson, CFP, Financial Planner, Minneapolis, Minnesota
Public Comment Philip Johnson, Saint Joseph, Illinois
Public Comment R. John Badger, Jr., CEO Chartered Financial Services, Ltd, West Des Moines, Iowa
Public Comment Randal L. Nicholls, Federal Way, Washington
Public Comment Randal Poirier, John Hancock Financial Network
Public Comment Randall Young
Public Comment Richard Hanford, Pittsford
Public Comment Robert A. Fedorchuk, Registered Representative Mutual Service Corporation, Daytona Beach, Florida
Public Comment Robert B. Johnson, EA, ASA, Centennial, Colorado
Public Comment Robert Barr
Public Comment Robert D. Abrams, CFP, independent financial planner, Mercer Island, Washington
Public Comment Robert E. Och, NASD Registered Representative, Mutual service Corp., Wadsworth, Ohio
Public Comment Robert J. Gilmore, Converse, Texas
Public Comment Robert M. Wood, Chartered Financial Consultant and Chartered Life Underwriter, Lutz, Florida

Last Reviewed or Updated: Dec. 18, 2025

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