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 25, 2004	Public Comment	M. Baran, Broadview, Illinois
March 25, 2004	Public Comment	Mark DeVaun, Chicago, Illinois
March 25, 2004	Meeting with SEC Officials	Memorandum from Tara L. Royal regarding Jane Bryant Quinn of Newsweek magazine
March 25, 2004	Public Comment	Paul L. Mariahazy
March 25, 2004	Public Comment	Rick Brooks, CFA, CFP, Association for Investment Management and Research, Financial Analysts Society of San Diego, San Diego, California
March 25, 2004	Public Comment	Robert J. Albers, Ph.D., Retired Individual Investor, Metamora, Illinois
March 25, 2004	Public Comment	Scott A. Woods, Retired Community Banker, Colorado Springs, Colorado
March 25, 2004	Public Comment	Thomas A. Morrison, CPA, CFP, Principal, 1 Person NASD BD, Wheaton, Illinois
March 25, 2004	Public Comment	Thomas F. Hintz, Bel Air, Maryland
March 25, 2004	Public Comment	Tom Dresser, Professional Engineer, Raleigh, North Carolina
March 25, 2004	Public Comment	Tom Powers, Naperville, Illinois
March 25, 2004	Public Comment	Walter J. Foster, Annapolis, Maryland
March 25, 2004	Public Comment	Walter J. Oakley, Libertyville, Illinois
March 24, 2004	Public Comment	Bart E. Levy, Series 7, JD candidate, Conshohocken, Pennsylvania
March 24, 2004	Public Comment	Bob Brewer, Chicago, Illinois
March 24, 2004	Public Comment	Bonnie Jozsi, Dundee, Illinois
March 24, 2004	Public Comment	Dale Siligmueller
March 24, 2004	Public Comment	David A. Whittaker, North Hollywood, California
March 24, 2004	Public Comment	David F. Hadden, Middletown, Maryland
March 24, 2004	Public Comment	David Singh, Pueblo, Colorado
March 24, 2004	Public Comment	Davie A. Williams
March 24, 2004	Public Comment	Douglas Donnan, St. Charles, Illinois
March 24, 2004	Public Comment	Dr. Darrel A. Nash, Bowie, Maryland
March 24, 2004	Public Comment	Edwin H. Moot, Retired, Bethesda, Maryland
March 24, 2004	Public Comment	Felten R. Marshall, Retired, Cedar Lake, Indiana
March 24, 2004	Public Comment	Frank J. Cogdell, Centreville, Virginia
March 24, 2004	Public Comment	Gary Short, CLU, ChFC, Springfield, Illinois
March 24, 2004	Public Comment	Gerson B. Kramer, Silver Spring , Maryland
March 24, 2004	Public Comment	Harry Letaw, Jr., Retired CEO, small public company, Severna Park, Maryland
March 24, 2004	Public Comment	Herbert A. Brandwein, Chicago, Illinois

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