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 Joan Hinchman, Executive Director, President and CEO, The National Society of Compliance Professionals, Inc., Cornwall Bridge, CT
Public Comment Mercer Bullard, Founder and President, Fund Democracy, Inc.; Barbara Roper, Director of Investor Protection, Consumer Federation of America; Kenneth McEldowney, Executive Director, Consumer Action; Sally Greenberg, Senior Counsel, Consumers Union
Public Comment Nancy S. Walls, CFP, Lansing, Michigan
Public Comment Todd P. Adams, MBA, CFP, President, Mills-Price & Associates, Inc.
Public Comment Walter C. Cunningham
Public Comment William G. Gray III, LPL Investment Representative, Linsco/Private Ledger, Yucaipa, California
Public Comment Andrew J. Loehr, Indianapolis, Indiana
Public Comment Anthony Benvin, Ph.D, CFP, Certified Financial Planner, Pittsburgh, Pennsylvania
Public Comment Bernard A. Breton, Vice President and Chief Compliance Officer, Carillon Investments, Inc., Cincinnati, Ohio
Public Comment Carol Y. Godsave, CFP
Public Comment Dan T. Peacock, R.F.C., Tampa, Florida
Public Comment Gilbert M. Sabatka, CFP, Manhattan, Kansas
Public Comment Graham C. Parsons, II, Erie, Pennsylvania
Public Comment Jay Keener, Wichita, Kansas
Public Comment Jonathan D. LaCroix, Grandville, Michigan
Public Comment Mark Schoenbeck
Public Comment Marvin R. Souchek, CLU/ChFC/, Society of Financial Service Professionals, Member Certified Employee Benefits Specialist , Lincoln, Nebraska
Public Comment Mercer Bullard, Founder and President, Fund Democracy, Inc., Barbara Roper, Director of Investor Protection, Consumer Federation of America, Kenneth McEldowney, Executive Director, Consumer Action, and Sally Greenberg, Senior Counsel, Consumers Union
Public Comment Peter Apfelbach, Chicago, Illinois
Public Comment Randal L. Nicholls
Public Comment Raymond H. Moran
Public Comment Richard S. Whelpley, Duxbury, Massachusetts
Public Comment Roger Craig, Vice President - Associate General Counsel, Nationwide Financial Services, Inc., Columbus, Ohio
Public Comment Roger J. David, Grand Rapids, Michigan
Public Comment Shashin G. Shah, CFP, Financial Advisor, Financial Design Group, Addison, Texas
Public Comment William T. Webster, Connecticut
Public Comment Andre Caubarreaux, Marksville, Louisiana
Public Comment Andrew C. Kupferberg C Kupferberg, CPA, Northbrook , Illinois
Public Comment Andrew Wood, Jr., Charlotte, North Carolina
Public Comment Anne N. Spinks, CLU, Independent Registered Representative with Mutual Service Corp., Richmond, Texas

Last Reviewed or Updated: Dec. 18, 2025

File Number
S7-06-04
Release Number
33-8358
34-49148
IC-26341
How to submit comments