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 W. Thomas Boulter, Vice President and Chief Compliance Officer, Jefferson Pilot Securities Corporation, Concord, New Hampshire
Public Comment William A. Bridy, First Vice President; and William J. Rittling, First Vice President, Merrill Lynch, Pierce, Fenner & Smith Incorporated
Public Comment William F. Galvin, Secretary of the Commonwealth, Commonwealth of Massachusetts
Public Comment William Jouris, investor, Danville, California
Public Comment William L. Sabol, Chairman, Mutual Securities Inc.
Public Comment William Lutz, Ph.D., J.D., Professor of English, Rutgers University
Public Comment Yvonne B. Weber, AAII Portland Chapter
Public Comment G. M. Yue
Public Comment Mahdee F. Raieesdana, Mt. Pleasant, Arkansas
Public Comment Rita Murphy
Public Comment Thomas R. Reeves, JD, CPA retired, retired status: State Bar of Texas, AICPA, CPA State of TX, CPA State of MS, Jonesboro, Arkansas
Public Comment William Tronolone, Jr.
Public Comment Fred M. Deutsch, retired, Santa Monica, California
Public Comment Steven W. Schindel, Senior Network Systems Engineer, Lockheed Martin, Rockville, Maryland
Public Comment Julie Gebert, Chief Compliance Officer, United Planners' Financial Services of America
Public Comment Mark D. Stenberg, Certified Financial Planner, Brownstown, Michigan
Public Comment Roger A. Swanberg, Bensenville, Illinois
Public Comment S. Kendrick Dunn, Assistant Vice President, Pacific Select Distributors, Inc.
Public Comment Stephen A. Batman, CEO, 1st Global Capital Corp.
Public Comment Thomas A. Hopkins, Chairman, and Stephen F. Anderson, President, Waterstone Financial Group
Public Comment Andrew M. Young, Software Vendor, Mutual Fund Processing, Venetia, Pennsylvania
Public Comment Craig Junkins, CEO and President, FFP Securities, Inc., Chesterfield, Missouri
Public Comment Dennis S. Kaminski, Executive Vice President, Chief Admininstrative Officer, Mutual Service Corporation
Public Comment Gary Hall
Public Comment Jeff Levering
Public Comment John O'Connor, President, USI Securities, Inc., Glastonbury, Connecticut
Public Comment Merrie J. Leighton
Public Comment Teresa Finn
Public Comment Allen T. Hopper, Ph.D., retired mathematician, Columbus, Ohio
Public Comment James L. Henderson, President, Great American Advisors, Inc.

Last Reviewed or Updated: Dec. 18, 2025

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