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 Laura Boothroyd, Director, Communications Division, DALBAR
Public Comment Linda M. Perryman, The Perryman Group, Hallowell, Maine
Public Comment Lisa Roth, President, Keystone Capital Corporation
Public Comment Lloyd A. Daniels, Livermore, California
Public Comment Mark Jacobs, Oakland, California
Public Comment Mark S. Shelton, General Counsel, UBS Financial Services Inc.
Public Comment Michael C. Herndon, Director, Public & Government Affairs, Certified Financial Planner Board of Standards, Inc.
Public Comment Michael L. Kerley, Vice President & Associate General Counsel, Massachusetts Mutual Life Insurance Company
Public Comment Michael L. Kerley, Vice President & Associate General Counsel, Massachusetts Mutual Life Insurance Company on behalf of Massachusetts Mutual Life Insurance Company and MML Investors Services, Inc.
Public Comment Michael P. DeGeorge, General Counsel, National Association for Variable Annuities
Public Comment Mike Scafati, Senior Vice President, A.G. Edwards & Sons, Inc.
Public Comment Miles Harkleroad, Independent Financial Planner, Chicago, Illinois
Public Comment Nancy M. Smith
Public Comment Neal E. Nakagiri, President and CEO, Associated Securities Corp.
Public Comment Niels Holch, Executive Director, Coalition of Mutual Fund Investors
Public Comment NYLIFE Securities Inc.
Public Comment Patrick Leader, CPA, retired, San Rafael, California
Public Comment R. Bredt Norwood, General Counsel, NFP Securities, Inc.
Public Comment R. T. Rowe, retired, Green Valley, California
Public Comment Richard M. Whiting, Executive Director and General Counsel, The Financial Services Roundtable
Public Comment Robert D. Tamblyn, Tamblyn & Associates, Inc.
Public Comment Ronald C. Long, Regulatory Counsel, Wachovia Securities, LLC
Public Comment S. Kendrick Dunn, Assistant Vice President, Pacific Select Distributors, Inc.
Public Comment Samuel E. Harrison, Architect, municipal government S.F., Oakland, California
Public Comment Susan S. Krawczyk, Sutherland, Asbill & Brennan, LLP
Public Comment Sutherland Asbill & Brennan LLP, on behalf of the Committee of Annuity Insurers
Public Comment Thomas A. Franko, Managing Director and General Counsel, Pershing LLC
Public Comment Tim Warren
Public Comment Tina M. Nofzinger, Director of Compliance, Oberlin Financial Corp.
Public Comment W. Leo McBlain, Chairman, and Thomas J. Jordan, Executive Director, Financial Information Forum

Last Reviewed or Updated: Dec. 18, 2025

File Number
S7-06-04
Release Number
33-8358
34-49148
IC-26341
How to submit comments