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 James T. Caldwell, student, Bellefonte, Pennsylvania
Public Comment Gilbert M. Chinitz, attorney and librarian, Farmington Hills, Michigan
Public Comment Daniel S. Chabott , Sr., investment advisor representative, Keene, New Hampshire
Public Comment Lawrence A. Silver, retired marketing director for a financial services firm, Oldsmar, Florida
Public Comment Mary L. Shapiro, Vice Chairman, NASD, and President, Regulatory Policy and Oversight, NASD
Public Comment Louis C. Broering, Hope, Indiana
Public Comment Kathleen E Severin, Saint Paul, Minnesota
Public Comment Marv Redman
Public Comment Barrett L Trimble, Centreville, Virginia
Public Comment Mike Maiden
Public Comment David H. Winkle, Granville, Ohio
Public Comment Nancy M. Smith, Falls Church, Virginia
Public Comment Thomas M. Herman, Katy, Texas
Public Comment Mark Lubeck
Public Comment Mercer Bullard, Founder and President, Fund Democracy, Inc., Barbara Roper, Director of Investor Protection, Consumer Federation of America, Kenneth McEldowney, Executive Director, Consumer Action, and Sally Greenberg, Senior Counsel, Consumers Union
Public Comment Christopher Peterson, American Bankers Association, Watertown, South Dakota
Public Comment Eldon Kinley
Public Comment Barbara Johnson
Public Comment Robert Geiler
Public Comment Donna M. Hardeman, Hardeman & Simon, P.A.
Public Comment Fred Walker Jr., Currie, North Carolina
Public Comment Timothy C. Scheve, Chief Executive Officer, Legg Mason Wood Walker, Incorporated
Public Comment Christopher A. Taylor, Executive Director, Municipal Securities Rulemaking Board
Public Comment James E. Grant, CPA, Author, national public speaker on mutual fund investing, Carbondale, Colorado
Public Comment John W. Hearn III, CPA, CFP, Registered Representative, 1st Global Capital Corp.
Public Comment Dean W. Wharton, Registered Representative
Public Comment James M. Odland, Vice President and Chief Legal Officer, Woodbury Financial Services, Inc.
Public Comment Peter M. Farnam, Senior Vice President, Boston, Massachusetts
Public Comment Phyllis Adler
Public Comment Wayne A. Harkleroad, CLU, ChFC, President, Financial Integrity Group, Inc., Chicago, Illinois

Last Reviewed or Updated: Dec. 18, 2025

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