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 1, 2004	Public Comment	Richard A. Bobb, Hendersonville, North Carolina
April 1, 2004	Public Comment	Roland L. Laing, CPA, DeBary, Florida
April 1, 2004	Public Comment	Sharri Marcin, CFA Charterholder with AIMR Association for Investment Management and Research
April 1, 2004	Public Comment	Sidney Goldstein
March 31, 2004	Public Comment	Bruce K.L. Willard, CMA, Institute of Management Accountants, Concord, Massachusetts
March 31, 2004	Public Comment	David T. Phelps, Scottsdale, Arizona
March 31, 2004	Public Comment	Don J. Neri, Barrington, Illinois
March 31, 2004	Public Comment	Glen W. Belden, American Association of Individual Investors, Member, Arlington Heights, Illinois
March 31, 2004	Public Comment	John A. Tonkinson, retired, Torrance, California
March 31, 2004	Public Comment	Patrick L. Carlton, Vancouver, Washington
March 31, 2004	Public Comment	Rita C. DeFloreo, Principal Compliance Manager/CCO, Paradigm Equities, Inc.
March 31, 2004	Public Comment	Roland S. Phelps, Pennsauken, New Jersey
March 30, 2004	Public Comment	Al Rice, AAII Eastern Michigan Chapter
March 30, 2004	Public Comment	Andrew Frye, AAII Eastern Michigan Chapter
March 30, 2004	Public Comment	Bruce A. Thale, Austin, Texas
March 30, 2004	Public Comment	C. Daniel Roth, Alexandria, Virginia
March 30, 2004	Public Comment	Dave G. Dobrowski, Sr., Westlake Village, California
March 30, 2004	Public Comment	James Christopher, Andover, Massachusetts
March 30, 2004	Public Comment	James E. Greenebaum, Highland Park, Illinois
March 30, 2004	Public Comment	Joseph A. Dolben, Hampden, Massachusetts
March 30, 2004	Public Comment	Joseph Emerson, retired
March 30, 2004	Public Comment	Marie Shank
March 30, 2004	Public Comment	Pat LaMarca, New York
March 30, 2004	Public Comment	Peter J. Simic, Jr., MD, Burbank, California
March 30, 2004	Public Comment	Richard Billington
March 30, 2004	Public Comment	Richard Green
March 30, 2004	Public Comment	Richard K. Carnwath, Birmingham, Alabama
March 30, 2004	Public Comment	Robert Jones
March 30, 2004	Public Comment	Tom Roberts and Sigrid Roberts
March 30, 2004	Public Comment	Walter J. Heddesheimer, Ph.D., Supervisory Archivist, The National Archives, Washington, District of Columbia

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