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	Tom Stefaniak
March 31, 2005	Public Comment	W.H. Richardson, Registered Representative
March 31, 2005	Public Comment	Walter W. Ince, Branch Manager, LPL Financial Services
March 31, 2005	Public Comment	Waymon Moore, CFP, CEC, CSA, President, Integrity Financial Planners, LLC
March 31, 2005	Public Comment	Wayne Pietri
March 31, 2005	Public Comment	William J. Irish
March 30, 2005	Public Comment	Adam D. Weeman
March 30, 2005	Public Comment	Arlyn P. Nelson, CFP, LPL Financial Services
March 30, 2005	Public Comment	B. Michael Muirhead, Financial Partners, Wichita Falls, Texas
March 30, 2005	Public Comment	Beverly Barr
March 30, 2005	Public Comment	Bradley Bliss
March 30, 2005	Public Comment	Brian Horne
March 30, 2005	Public Comment	Brian Nelson, LPL Financial Advisor
March 30, 2005	Public Comment	Bryan Rex
March 30, 2005	Public Comment	C. Robert Brown, CLU, LUTCF, NAIFA President and NAIFA Government Affairs
March 30, 2005	Public Comment	Carl Thoenen, Financial Advisor, ST Charles, Missouri
March 30, 2005	Public Comment	Chuck Bracht, President, Apogee
March 30, 2005	Public Comment	Connie S. Walenta CIC, LUTCF, Kastl-Powell Agency
March 30, 2005	Public Comment	Dan Allen
March 30, 2005	Public Comment	Dan G. Dillard, LPL Financial Planner
March 30, 2005	Public Comment	Daniel E. Maul, Registered Investment Adviser, Retirement Planning Associates
March 30, 2005	Public Comment	Daniel E. Maul, Registered Representative and Registered Investment Advisor, Kirkland, Washington
March 30, 2005	Public Comment	Dave Oakley, CFP, Carlsbad, New Mexico
March 30, 2005	Public Comment	David Daughters, Chillicothe, Ohio
March 30, 2005	Public Comment	David H. Wood
March 30, 2005	Public Comment	David Schaper
March 30, 2005	Public Comment	David W. Shepherd, ChFC, CFP
March 30, 2005	Public Comment	David Warren, M.A., CFP, ChFC, Matthews, North Carolina
March 30, 2005	Public Comment	Dennis A. Lair, Investment Executive, LinscolPrivate Ledger
March 30, 2005	Public Comment	Dorothy Antwiler, General Agent/Registered Rep, Brokerage Associates, Inc.

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