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
March 26, 2004	Public Comment	Antoinette D. Sims, Evanston, Illinois
March 26, 2004	Public Comment	Carl A. Wagner, Staff Engineer, United Technologies Corp., Beloit, Wisconsin
March 26, 2004	Public Comment	Charles G. Boysen, Ph.D., retired , Chicago, Illinois
March 26, 2004	Public Comment	Daniel C. Dooley, President; Cynthia E. Besek, Senior Vice President; Jack Brown, Vice President; Ken Brown, Vice President; and Bruce Robinson, Vice President, Maplewood Investment Advisors, Inc.
March 26, 2004	Public Comment	Darlene L. Mozina, Crest Hill, Illinois
March 26, 2004	Public Comment	Douglas G. Crawford, Arlington, Virginia
March 26, 2004	Public Comment	Joseph Gal, PMP, Project Management Professional, Rancho Santa Margarita, California
March 26, 2004	Public Comment	Lee T. Hayes, Candidate for Charter Financial Analayst, Financial Planner/Wealth Advisor, Crystal Lake, Illinois
March 26, 2004	Public Comment	Michael Gaffney, Prinicpal, Allied Capital, Washington, District of Columbia
March 26, 2004	Public Comment	Obie Hunt, Bronx, New York
March 26, 2004	Public Comment	Richard C. deAngelis, Ph.D., retired professor of Asian history, Fairfield, Connecticut
March 26, 2004	Public Comment	Robert D. Miller, American Association of Individual Investors, West Linn, Oregon
March 26, 2004	Public Comment	Todd D. Carlson, Registered Representative, Mutual Service Corporation, Muskegon, Michigan
March 25, 2004	Public Comment	Arthur R. Gonzales, Potomac, Maryland
March 25, 2004	Public Comment	Darren P. Cooper, Lafayette, Indiana
March 25, 2004	Public Comment	Dave Kasper, Small Business Owner
March 25, 2004	Public Comment	David A. Lieberman
March 25, 2004	Public Comment	Duane E. Young, Mount Prospect, Illinois
March 25, 2004	Public Comment	E. Joseph West, CFA, Financial Consultant, Smith Barney, Washington, District of Columbia
March 25, 2004	Public Comment	Erryl E. Mendenhall, Thomson, Illinois
March 25, 2004	Public Comment	Gregory J. Calvin, Milford, Connecticut
March 25, 2004	Public Comment	Henry C. Baxter, Bel Air, Maryland
March 25, 2004	Public Comment	Irvin Pollack
March 25, 2004	Public Comment	Jack W. Hannah, Houston, Texas
March 25, 2004	Public Comment	James G. Potter, Ph.D., Member, American Association of Independent Investors, Alexandria, Virginia
March 25, 2004	Public Comment	John J. Michalski, Jr., Annapolis, Maryland
March 25, 2004	Public Comment	John R. Baber, retired FBI, Naperville, Illinois
March 25, 2004	Public Comment	John T. James, MCSE, Palatine, Illinois
March 25, 2004	Public Comment	Laura Benecarrere
March 25, 2004	Public Comment	Louis Pollack, Rockville, Maryland

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:

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