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

Filter comments

Date Received
Date Letter Type Commenter Name
Public Comment Armand Minasian, CFP, San Francisco, California
Public Comment Barbara Gill, Compliance Officer; Lisa Bass, Operations Manager; Doug Noll, Director of Operations; Sharon Fleming, Mutual Fund Marketing Manager; Stifel Nicolaus & Company, Incorporated
Public Comment Barry Augenbraun, Senior Vice President and Corporate Secretary, Raymond James Financial, Inc.
Public Comment Brett A. Young, Olivet, Michigan
Public Comment Brian E. Conway
Public Comment Carl B. Wilkerson, Vice President and Chief Counsel, Securities and Litigation, American Council of Life Insurers
Public Comment Charles K. Bankerd
Public Comment Christine L. Hagen, CFP, Irvine, California
Public Comment Christine Trapp, Itasca, Illinois
Public Comment Christopher L. Wells, Senior VP, Asset Management Inc., Greenville, South Carolina
Public Comment Clark K. Nisbett
Public Comment Clifford C. Hyatt, Partner and David L. Stanton, Senior Associate, Pillsbury Winthrop Shaw Pittman, LLP
Public Comment Craig A. Johnson, Plymouth, Minnesota
Public Comment Dale E. Brown, CAE, Executive Director, and CEO, Financial Services Institute
Public Comment Dana Morton, CLU, ChFC, Registered Principal, The Morton Capital Group
Public Comment Daniel W. Leveroni, CFP, Certified Financial Planner, Braintree, Massachusetts
Public Comment Darrell N. Braman, Vice President & Associate Legal Counsel, T. Rowe Price Associates, Inc., Baltimore, Maryland
Public Comment Darryl G. Duerbusch, COO, Global Financial Planning Group, Troy, Michigan
Public Comment David B. Leszcynski, CFP, Global Financial Planning Group, Troy, Michigan
Public Comment David J. Lekich, Vice President and Senior Corporate Counsel, Charles Schwab & Co., Inc., San Francisco, California
Public Comment David P. Damaska, CPA, CFP, Cincinnati, Ohio
Public Comment David Warner, CFA, Vice President, Windsor Financial, LLC, Silver Spring, Maryland
Public Comment Denise A. Izatt, CFP, Oakbrook, Illinois
Public Comment Diane R. Kotar, Villa Hills, Kentucky
Public Comment Donna M. Wolf, CFP, Mequon, Wisconsin
Public Comment Doug Alden, CLU, CSA, AIFA, Asheville, North Carolina
Public Comment Douglas D. White, Registered Rep. Douglas White Financial Services & Ins., North Dighton, Massachusetts
Public Comment Douglas K. Hollen
Public Comment Douglas K. Shannep, CFP, CIMA, Managing Director, San Diego, California
Public Comment Drewe L. Robinson, Saginaw, Michigan

Last Reviewed or Updated: Dec. 18, 2025

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