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	Mark Leibman, Branch Manager and Registered Representative, Linsco/Private Ledger
March 31, 2005	Public Comment	Martin J. Smith, MBA, Capital Point Financial Group
March 31, 2005	Public Comment	Michael J. Marion, CLU, ChFC, CSPG
March 31, 2005	Public Comment	Michael R. Hompesch, E.A. Boniakowski Agency, Inc.
March 31, 2005	Public Comment	Michael Ruff, CPA/PFS, CFP, CFE, Pampa, Texas
March 31, 2005	Public Comment	Mike Thompson
March 31, 2005	Public Comment	Paul B. Wolf
March 31, 2005	Public Comment	Paul Dauber
March 31, 2005	Public Comment	Paul Foley, CLU, ChFC, Springfield, Massachusetts
March 31, 2005	Public Comment	Payton Crossley
March 31, 2005	Public Comment	Peter M. Viliesis, CLU, ChFC
March 31, 2005	Public Comment	R. Les Terrill, CFP, Certified Financial Planner, The Terrill Group LLC
March 31, 2005	Public Comment	Richard F. Curcio, Chairman & President, Integrity Investments, Inc.
March 31, 2005	Public Comment	Richard W. L. Hall, RIA, CFP, ChFC, CDFA
March 31, 2005	Public Comment	Robert A. Young, Branch Manager, LPL Financial Services
March 31, 2005	Public Comment	Robert F. Entigar
March 31, 2005	Public Comment	Robert G. Cleaveland, CLU, ChFC, LTCIS, CSA®, LPL Financial Planner
March 31, 2005	Public Comment	Robert L. Erkel, CLU, ChFC, CFP
March 31, 2005	Public Comment	Robert L. Malmquist, CFP, Financial Consultant, LPL Financial Services
March 31, 2005	Public Comment	Robert R. Glauber, Chairman and CEO, NASD
March 31, 2005	Public Comment	Robert Roth, CEO; Thaddeus Crass, COO; Clint Pogemiller, Marketing; and Pamela S. Fritz, CCO; MWA Financial Services, Inc.
March 31, 2005	Public Comment	Ronald L. Engstrom
March 31, 2005	Public Comment	Scott Thuleen
March 31, 2005	Public Comment	Sherry S. McGhee
March 31, 2005	Public Comment	Stephen M. Rosiere
March 31, 2005	Public Comment	Steve Hofer, CFP
March 31, 2005	Public Comment	Steve Socha
March 31, 2005	Public Comment	Steven W. Gaito
March 31, 2005	Public Comment	Susan C. Fewell
March 31, 2005	Public Comment	Terry B. Wells, CFP, ChFC, CLU, President, Wells Financial Advisors

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