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 John A. McCrary III, Houston, Texas
Public Comment Cathy Bataille
Public Comment Dorsey Stebbins
Public Comment V. Garcia-Bunuel
Public Comment Cathy Kleinsmith
Public Comment Andrew Bairnsfather
Public Comment Tom Felt
Public Comment Tamara K. Salmon, Senior Associate Counsel, Investment Company Institute
Public Comment Melanie L. Fein, on behalf of Federated Investors, Inc.
Public Comment Nori Muster, Mesa, Arizona
Public Comment Ana Salinas
Public Comment Christopher LaCroix
Public Comment Wayne J. Kohout
Public Comment David Hodghead
Public Comment Gary Thurston, Fairfax, Virginia
Public Comment P. Brown, Flagler Beach, Florida
Public Comment Richard Meltzer, Southfield, Michigan
Public Comment Results of In-Depth Investor Interviews Regarding Proposed Mutual Fund Sales Fee and Conflict of Interest Disclosure Forms
Additional Files:
Meeting with SEC Officials Memorandum from the Division of Investment Management regarding a November 1, 2004 telephone conference with representatives of the Investment Company Institute
Meeting with SEC Officials Memorandum from the Division of Market Regulation regarding a September 14, 2004 meeting with representatives of the Securities Industry Association
Meeting with SEC Officials Memorandum from the Division of Market Regulation regarding a September 29, 2004 meeting with representatives of the Investment Company Institute
Public Comment Andrew H. Dral, investment Officer, Sacramento, California
Meeting with SEC Officials Memorandum from the Division of Investment Management regarding an August 4, 2004 meeting with the Investment Company Institute
Public Comment Mary L. Schapiro, Vice Chairman, NASD
Public Comment JReni Storm, Santa Fe, New Mexico
Public Comment Mitch Stanley, Portland, Oregon
Public Comment W. Thomas Comer and Eric A. Arnold, Sutherland Asbill & Brennan LLP
Meeting with SEC Officials Memorandum from Patrick Von Bargen regarding a meeting with Chairman Donaldson and staff members and Marc Lackritz and other representatives of the Securities Industry Association
Public Comment William T. Moxham, investor, Baghdad, Iraq
Public Comment Bruce E. Brown, corporate credit manager, Plano, Texas

Last Reviewed or Updated: Dec. 18, 2025

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