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 Sort descending	Letter Type	Commenter Name
April 7, 2004	Public Comment	John J. Carroll, John J. Carroll & Company
April 7, 2004	Public Comment	Mark Baca, Registered Representative, Sacramento, California
April 7, 2004	Public Comment	Philip M. Grimley, MD, Professor of Medicine, Bethesda, Maryland
April 6, 2004	Public Comment	Deborah Castiglioni, CEO, Cutter & Company, Inc.
April 6, 2004	Public Comment	Edwin L. Moir, Member, American Assoc. of Individual Investors, Tallahassee, Florida
April 6, 2004	Public Comment	John DeVol, CLU, Broker Resource Center, Paoli, Pennsylvania
April 6, 2004	Public Comment	Joseph I. Rooney, Santa Clara, California
April 6, 2004	Public Comment	Susan Crabtree
April 5, 2004	Public Comment	David French
April 5, 2004	Public Comment	Doreen Setigsa
April 5, 2004	Public Comment	Michael F. Audet, investor, Silver Spring, Maryland
April 4, 2004	Public Comment	Ingrid U. Nelson, retired, former analyst in the divisions of MR and Enforcement, Alexandria, Virginia
April 4, 2004	Public Comment	Jeff Oler
April 4, 2004	Public Comment	Jim Banks
April 4, 2004	Public Comment	Jim Banks
April 4, 2004	Public Comment	Lado Muhlstein, Jr., Cupertino, California
April 4, 2004	Public Comment	Michele Harris
April 4, 2004	Public Comment	Rev. Chester F. Watson, Concord, California
April 3, 2004	Public Comment	Michael J. Timlin, III, Redwood City, California
April 3, 2004	Public Comment	Scott Pacheco
April 3, 2004	Public Comment	Stephen W. Howells, Houston, Texas
April 2, 2004	Public Comment	Eileen J. Di Ruocco
April 2, 2004	Public Comment	Nan Fuchs, Sebastopol, California
April 2, 2004	Public Comment	Robert D. Miller, Roseville, California
April 2, 2004	Public Comment	Scott Pacheco
April 2, 2004	Public Comment	Tom Matthews
April 1, 2004	Public Comment	Barry S. Augenbraun, Senior Vice President and Corporate Secretary, Raymond James Financial, Inc.
April 1, 2004	Public Comment	Eileen Evans, La Crosse, Wisconsin
April 1, 2004	Public Comment	Miriam Matranga
April 1, 2004	Public Comment	Results of Focus Groups with Individual Investors to Test Proposed Rules 15c2-2 and 15c2-3

Last Reviewed or Updated: Dec. 18, 2025

File Number

S7-06-04

Release Number

33-8358

34-49148

IC-26341

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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:

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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:

Filter comments