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
March 31, 2005	Public Comment	Harrison S. Reed, ChFC
March 31, 2005	Public Comment	J. Cushco
March 31, 2005	Public Comment	James B. Twining
March 31, 2005	Public Comment	James Budzyn
March 31, 2005	Public Comment	James D. Finneran
March 31, 2005	Public Comment	James E. Hyland
March 31, 2005	Public Comment	James R. Zivich, Registered Principal, LPL Financial Services
March 31, 2005	Public Comment	Janetta L. Graber, LPL Registered Principal
March 31, 2005	Public Comment	Jeff W. Bird, CLU
March 31, 2005	Public Comment	Jerome Pfeffer, Investment Solutions Wealth Management Group
March 31, 2005	Public Comment	Jerry Egermier
March 31, 2005	Public Comment	Joan M. Valenti
March 31, 2005	Public Comment	Joe Van Voast
March 31, 2005	Public Comment	John A. Galnes, CLU, LPL Branch Manager
March 31, 2005	Public Comment	John P. Davis, President, JPDavis, Inc.
March 31, 2005	Public Comment	Jon David Smith
March 31, 2005	Public Comment	Jon Roth
March 31, 2005	Public Comment	Julie Missal, Registered Investment Adviser Representative, Kirkland, Washington
March 31, 2005	Public Comment	Kathleen C. Buys, President, Buys and Company, Inc.
March 31, 2005	Public Comment	Keith Deyo
March 31, 2005	Public Comment	Ken Smith
March 31, 2005	Public Comment	Kevin B. Cowan
March 31, 2005	Public Comment	Kevin B. Cowan, LPL Registered Representative
March 31, 2005	Public Comment	Kevin D. Frost, CLU, ChFC, Financial Representative, Northwestern Mutual Financial Network®
March 31, 2005	Public Comment	Larry G. Stark, LPL Registered Representative, LPL Financial Services
March 31, 2005	Public Comment	Larry Wiens
March 31, 2005	Public Comment	Lawrence J. Donna
March 31, 2005	Public Comment	Lee Stanford
March 31, 2005	Public Comment	Lis Libengood
March 31, 2005	Public Comment	M. Brett Sutherland

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