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

Filter comments


Date Sort descending	Letter Type	Commenter Name
March 30, 2005	Public Comment	Paul Zietlow
March 30, 2005	Public Comment	Peter Crotty, Cincinnati, Ohio
March 30, 2005	Public Comment	R. Scott Bradley, Hurricane, West Virginia
March 30, 2005	Public Comment	R. Steve Preston, Registered Representative and Financial Advisor, The Financial Design Group
March 30, 2005	Public Comment	Rachelle L. Nelko, CSA, Minneapolis, Minnesota
March 30, 2005	Public Comment	Rich Menze
March 30, 2005	Public Comment	Richard Gibbs, CLU, ChFC
March 30, 2005	Public Comment	Richard J. Carlesco Jr., LUTCF, Independent Broker Network, Inc.
March 30, 2005	Public Comment	Robert A. DiCola, CLU, ChFC, Registered Representative, Sentra Securities Corporation
March 30, 2005	Public Comment	Robert Starckovich
March 30, 2005	Public Comment	Roman Lopatynski, Investment Advisor Representative
March 30, 2005	Public Comment	Roy Holtz
March 30, 2005	Public Comment	Ryan W. Auge
March 30, 2005	Public Comment	Sanjay Arora, MBA, CLU with The Holter Group
March 30, 2005	Public Comment	Seth J. Diener
March 30, 2005	Public Comment	Shawn D. Palmer, CFS, Advocate for the Goal-oriented Investor, LPL Financial Advisor
March 30, 2005	Public Comment	Shelley M. Parson
March 30, 2005	Public Comment	Sherry Rothering
March 30, 2005	Public Comment	Sherry S McGhee
March 30, 2005	Public Comment	Stephen L. Roberts, CFP, Roberts Financial Group
March 30, 2005	Public Comment	Steve P. Hagan
March 30, 2005	Public Comment	Steven R. Coon
March 30, 2005	Public Comment	Steven R. Gleason, New Horizons Asset Management Group, LLC
March 30, 2005	Public Comment	Steven W. Gaito
March 30, 2005	Public Comment	Susan C. Fewell
March 30, 2005	Public Comment	Tad M. Weiss, MBA, CFP, Certified Financial Planner, Olson Weiss, LLC
March 30, 2005	Public Comment	Terrence D. Wittman, MBA, Financial Consultant; Kirkby, Phelan and Associates
March 30, 2005	Public Comment	Thomas J. Tingey
March 30, 2005	Public Comment	Thomas R. Berry, The Berry Group
March 30, 2005	Public Comment	Thomas Wuertz, Austin, Minnesota

Last Reviewed or Updated: Dec. 18, 2025

File Number

S7-06-04

Release Number

33-8358

34-49148

IC-26341

How to submit comments

Rules & Regulations

Enforcement & Litigation

Compliance

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

More in this Section

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