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 Mary Gruenberg
Public Comment Max Davenport
Public Comment Michael Conway
Public Comment Michael H. Bergman
Public Comment Michael L. Kleen
Public Comment Nathaniel Lawver
Public Comment Paul Walker
Public Comment Randy Blackwood
Public Comment Robert Dibley
Public Comment Robert Tedoldi
Public Comment Tamsey Hilsabeck
Public Comment Thomas H. Cripps
Public Comment Tom Moore
Public Comment Torrey Holmquist
Public Comment Troy DeLair
Public Comment W. Robert McVitty Jr.
Public Comment Wayne McCullough
Public Comment Michael P. DeGeorge, General Counsel, National Association for Variable Annuities
Public Comment Carlos Forcione, Esquire, Medford, Massachusetts
Public Comment Carl B. Wilkerson, Vice President & Chief Counsel, Securities & Litigation, American Council of Life Insurers
Public Comment S. Kendrick Dunn, Assistant Vice President, Pacific Select Distributors
Public Comment Stephen F. Anderson, CLU, ChFC, CFP, President, Waterstone Financial Group
Public Comment Carlos Forcione, Esquire, Medford, Massachusetts
Public Comment Michael J. Mungenast, President, ProEquities, Inc.
Public Comment Neal A. Thomas CLU ChFC, NAIFA SPFP, Lincoln, Nebraska
Public Comment Carol Olson, ML Stern & Co., LLC
Public Comment Frank Twardowski, Tobyhanna Army Depot
Public Comment Dale E. Brown, Executive Director and CEO, Financial Services Institute
Public Comment Ira D. Hammerman, Senior Vice President and General Counsel, Securities Industry Association
Public Comment Seth E. Lipner, Professor of Law, Zicklin School of Business, Baruch College, CUNY, New York, New York

Last Reviewed or Updated: Dec. 18, 2025

File Number
S7-06-04
Release Number
33-8358
34-49148
IC-26341
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