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
June 20, 2004	Public Comment	Edward W. Greninger, Los Angeles, California
June 11, 2004	Public Comment	Douglas J. Haberman, Waynesville, Missouri
June 11, 2004	Public Comment	William A. Charlebois, accountant, Glendale, Colorado
June 10, 2004	Public Comment	John C. Carter, San Dimas, California
June 9, 2004	Public Comment	Gary C. Sanson, CFP, CFS, ChFC, RFC, AEP, President of Financial Voyages LLC
June 9, 2004	Public Comment	Thomas Kennett, San Francisco, California
June 6, 2004	Public Comment	Christopher R. Johnson, M.B.A, financial advisor, Paulding, Ohio
May 28, 2004	Public Comment	Staretta Moffatt, law student/paralegal, Lancaster, California
May 27, 2004	Public Comment	Jack E. Kent, CFE, Boise, Idaho
May 27, 2004	Public Comment	Kenneth A Edwards, Naperville, Illinois
May 27, 2004	Public Comment	Pat McConnell, concerned investor
May 27, 2004	Public Comment	Rebecca Beard Junker, Registered Representative, 1st Global Capital Corp.
May 27, 2004	Public Comment	Richard Marple, NAIC Minneapolis/ St. Paul Chapter
May 27, 2004	Public Comment	Rita C. DeFloreo, Principal Compliance Manager/CCO, Paradigm Equities, Inc., East Lansing, Michigan
May 27, 2004	Public Comment	Sarah L. Smithey, Registered Representative, 1st Global Capital Corp.
May 26, 2004	Public Comment	Barb Nelson, NAIC Minneapolis/ St. Paul Chapter
May 26, 2004	Public Comment	Eda B. Bloch, Durham, North Carolina
May 26, 2004	Public Comment	Nick P Christenson, Las Vegas, Nevada
May 26, 2004	Public Comment	Paul W Purdom, III, accounting, Bloomington, Indiana
May 25, 2004	Public Comment	Dawn Bauer, NAIC Minneapolis/ St. Paul Chapter
May 21, 2004	Public Comment	David Certner, Director, Federal Affairs, AARP Additional Files: Additional Information (2.64 MB)
May 20, 2004	Public Comment	Chris A. Behringer, NAlC Minneapolis/St. Paul Chapter
May 17, 2004	Public Comment	Eric D. Roiter, Senior Vice President and General Counsel, Fidelity Management & Research Company
May 17, 2004	Public Comment	Jake Johnson, NAIC Minneapolis/ St. Paul Chapter
May 14, 2004	Public Comment	John A. T. Cory, CFP, BlackDog Financial, LLC, Denver, Colorado
May 13, 2004	Public Comment	Marc R Gardner, P.E.
May 13, 2004	Public Comment	Raejean Overholtzer, NAIC Kansas City Area Chapter
May 11, 2004	Public Comment	Ross C. Fogle, Harbor Springs, Michigan
May 10, 2004	Public Comment	L. Skinner, NAIC Kansas City Area Chapter
May 9, 2004	Public Comment	Fred Bracilano, Sr, Hilliard, Ohio

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