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 Sort descending	Letter Type	Commenter Name
April 1, 2005	Public Comment	William E. Hamm, Jr, Tampa, Florida
April 1, 2005	Public Comment	Wilma Sheridan, Commack, New York
March 31, 2005	Public Comment	Anonymous reviewer
March 31, 2005	Public Comment	Arlyn P. Nelson, CFP
March 31, 2005	Public Comment	Bob Cleaveland, CLU, ChFC, LTCIS, CSA
March 31, 2005	Public Comment	Brad Jenks
March 31, 2005	Public Comment	Brenda Greegor
March 31, 2005	Public Comment	Brian Hartman
March 31, 2005	Public Comment	Bryan Rex
March 31, 2005	Public Comment	Carole K. Morgan, CFPTM, Branch Manager, LPL Financial Services
March 31, 2005	Public Comment	Chad A. Burkhalter, Capps Firrancial Services
March 31, 2005	Public Comment	Chris Adams, Financial Consultant, Adams Investment Services, LLC
March 31, 2005	Public Comment	Christen L. Sanchez, CFPTM, Certified Financial Planner, Branch Manager, LPL Financial Services
March 31, 2005	Public Comment	Christine M. Tarr, Black Elk Management, Inc.
March 31, 2005	Public Comment	Christopher Fusco
March 31, 2005	Public Comment	Craig Junkins, President and Chief Executive Officer, FFP Securities Inc.
March 31, 2005	Public Comment	Dale S. Cook
March 31, 2005	Public Comment	Dan White
March 31, 2005	Public Comment	Daniel R. Balch, CLU, ChFC
March 31, 2005	Public Comment	David Harrington
March 31, 2005	Public Comment	David J. Graham
March 31, 2005	Public Comment	Donald R. Burkall, CLU, ChFC
March 31, 2005	Public Comment	E Ray Ward
March 31, 2005	Public Comment	Ellen K. Timberlake
March 31, 2005	Public Comment	Francis A Kenia
March 31, 2005	Public Comment	Frank Prescott
March 31, 2005	Public Comment	G. Wilson
March 31, 2005	Public Comment	Gary L. Noecker
March 31, 2005	Public Comment	Gary Samek
March 31, 2005	Public Comment	Harriett A. Pinsker, Registered Representative, 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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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:

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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:

Filter comments