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 Amy B.R. Lancellotta, Acting General Counsel, Investment Company Institute
Public Comment Bridget Gaughan, Executive Vice President, Chief Legal and Regulatory Counsel
Public Comment C. Dirk Peterson, Kirkpatrick & Lockhart LLP, on behalf of Metropolitan Life Insurance Company
Public Comment Chester M. Slyk, New Smyrna Beach, Florida
Public Comment Christine A. Smith, Bena, Virginia
Public Comment Dale E. Brown, CAE, Executive Director & CEO, Financial Services Institute
Public Comment Dan Jamieson
Public Comment Dave Massen
Public Comment David A. Hebner, Secretary, Senior Vice President and Assistant General Counsel for First Clearing, LLC and Patricia A. Jamison, Chief Operating Officer, Wexford Clearing Services, LLC
Public Comment David den Boer, Senior Vice President, Chief Compliance Officer, The Variable Annuity Life Insurance Company
Public Comment David J. Lekich, Vice President and Senior Corporate Counsel, Charles Schwab & Co., Inc.
Public Comment David O. Spinar, Vice President and Chief Compliance Officer, Securities America, Inc.
Public Comment David O. Spinar, Vice President and Chief Compliance Officer, Securities America, Inc.
Public Comment David W. Demming, CFP, Registered Representative, Coordinated Capital Securites, Inc.
Public Comment Elizabeth G. Monsell, President, Carillon Investments Inc.
Public Comment Elizabeth L. Bordowitz, Esq., General Counsel, Finance Authority of Maine, Augusta, Maine
Public Comment Frederick C. Tedeschi, Vice President and Associate General Counsel, Jefferson Pilot Financial Insurance Company
Public Comment Frederick C. Tedeschi, Vice President and Associate General Counsel, Jefferson Pilot Financial Insurance Company
Public Comment George R. Kramer, Vice President and Acting General Counsel, Securities Industry Association
Public Comment James E. Lodge, Registered Investment Advisor, Registered Representative NASD, Boise, Idaho
Public Comment Jermaine R. Case, Stockton, California
Public Comment Jim G. Rhodes, President/CEO; and Sandra T. Masek, EVP/Compliance Officer, Rhodes Securities, Inc.
Public Comment Joan Hinchman, Executive Director, President and CEO, The National Society of Compliance Professionals, Inc.
Public Comment Joanne B. Mack, President, Park Avenue Securities LLC
Public Comment Joanne M. Brown, Concord, California
Public Comment John L. Dixon, President, Pacific Select Distributors, Inc.
Public Comment John R. Ressler, Jr., Registered Represenative, Mutual Service Corporation, Waukegan, Illinois
Public Comment John S. Simmers, CEO, ING Advisors Network
Public Comment John W. Goodwin, President, and David R. Browning, Vice-President, Goodwin Browning & Luna Securities, Inc., Albuquerque, New Mexico
Public Comment Kenneth B. Roberts, Partner, Hawkins Delafield & Wood LLP

Last Reviewed or Updated: Dec. 18, 2025

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