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 30, 2005	Public Comment	Julie Shickel
March 30, 2005	Public Comment	Karen McFall
March 30, 2005	Public Comment	Kathy Sasser
March 30, 2005	Public Comment	Keith A. Tyner, CFP, Financial Consultant, LPL Financial Services
March 30, 2005	Public Comment	Kenneth L. Kust
March 30, 2005	Public Comment	Kirk M. Perry
March 30, 2005	Public Comment	Larry Hesse
March 30, 2005	Public Comment	Larry M. Schmitt, President, Southwest Insurance Agency
March 30, 2005	Public Comment	Larry R. Long
March 30, 2005	Public Comment	Lesley Pinckard
March 30, 2005	Public Comment	Linda Enterline
March 30, 2005	Public Comment	Lydia Bellamy-Palma, Park Forest, Illinois
March 30, 2005	Public Comment	M. Chad Stockett, CPA
March 30, 2005	Public Comment	M. Michael Reilly
March 30, 2005	Public Comment	M.K. Bertelson, Professor of Family, Succum, New Jersey
March 30, 2005	Public Comment	Malka Naggar
March 30, 2005	Public Comment	Manny Um
March 30, 2005	Public Comment	Maria C. Desmarais, Financial Services Consultant, Financial Services Center at Chicopee Savings
March 30, 2005	Public Comment	Mark C. Mathias, Regional Vice President - Great American Advisors, Inc., Cincinnati, Ohio
March 30, 2005	Public Comment	Mark D. Kinney, CFP
March 30, 2005	Public Comment	Mark H. McCormick
March 30, 2005	Public Comment	Mark Sorlie
March 30, 2005	Public Comment	Max L. Erickson, CLU, ChFC, General Partner and E.J. "Bud" Baldwin, CIC, General Partner, Erickson - Baldwin Insurance Associates
March 30, 2005	Public Comment	Melissa Shaw
March 30, 2005	Meeting with SEC Officials	Memorandum from Susan Nash regarding a March 23, 2005 meeting the NASD Variable Insurance Products Committee
March 30, 2005	Public Comment	Michael Frailey
March 30, 2005	Public Comment	Michael J. Trohimczyk, Owner, MJT Investments, Dearborn Heights, Michigan
March 30, 2005	Public Comment	Paul A Koeniguer, Financial Advisor, American Express Financial Advisors, Inc., IDS Life Insurance Company
March 30, 2005	Public Comment	Paul D. Christ, MBA, CLU
March 30, 2005	Public Comment	Paul E. Banko, financial advisor

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