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 Robert O. Troxell, Financial Services Representative, Hanover, Pennsylvania
Public Comment Ronald B. Lee
Public Comment Ronald H. Roeser, CFP, Branch Manager, Mutual Service Corporation, Safety Harborf, Florida
Public Comment Sandip S. Sehmi, Irvine, California
Public Comment Sophocles C. Liapopoulos, CPA, Brockton, Massachusetts
Public Comment Stan W. Galler
Public Comment Stephen E. Masula, CFP, EA, Carlsbad, California
Public Comment Steven M. Hollis, CPA, CFP, President, Premier Wealth Managment Group, St. Charles, Missouri
Public Comment Steven M. Weinstein, CFP, Proprietor, Middletown, Ohio
Public Comment Steven Paris, Marco Island, Florida
Public Comment Susan L. Coates, West Palm Beach, Florida
Public Comment Susan Sommer, Certified Financial Planning Practioner, Certified Fund Specialist, St. Charles, Missouri
Public Comment Terence W. ODoherty, Vancouver, Washington
Public Comment Terry R. Altman, CLU, CFP, Practitioner Instructor, Oakland University Personal Financial Planning Program, Rochester, Michigan
Public Comment Theresa G. Jackson, CFP, Alabama
Public Comment Thomas E. Watson, Financial Planning Association, Piney Flats, Tennessee
Public Comment Thomas Forest, Alpine, Utah
Public Comment Thomas G. Pailthorp, Registered Representative, Mutual Service Corporation, Crofton, Maryland
Public Comment Thomas Grossi, Registered Representative, LPL Financial Services
Public Comment Thomas J. Marron, East Greenwich, Rhode Island
Public Comment Thomas J. Noel, Registered Representative, Mutual Service Corp, Fort Atkinson, Wisconsin
Public Comment Thomas W. Whyte, Registered Rep, Falmouth, Maine
Public Comment Thomas Zimmer, Kimberly, Wisconsin
Public Comment Tim Brockmann, Fort Atkinson, Wisconsin
Public Comment Todd Feltz, CFP®, CFS, President, Feltz WealthPlan
Public Comment Tye C. Williams, CFP, Austin, Mississippi
Public Comment William A. Hill, Darlington, South Carolina
Public Comment William C. Alsover
Public Comment William C. Alsover, Centennial Securities Company
Public Comment William Cone, Registered Representative, Mutual Service Corp., Crofton, Maryland

Last Reviewed or Updated: Dec. 18, 2025

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