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 Received
Date Letter Type Commenter Name
Public Comment James A. Sagerholm, Timonium, Maryland
Public Comment James E. Huitema, University Park, Maryland
Public Comment James F. Cunningham, CPA, MST, Business Owner, CPA Firm, Geneva, Illinois
Public Comment James J. Willmott, Columbia, Maryland
Public Comment James K. Kenton, CPA, Preston, Maryland
Public Comment Jeffrey E. Feinberg, Ph.D., President, FLAME Foundation, Lake Forest, Illinois
Public Comment Jerome F. Trautschold, Jr., Jupiter, Florida
Public Comment Jim Conant
Public Comment Joel D. Foshee, Pell City, Alabama
Public Comment John B. Smith, CFP, CRPC , MBA, FPA, Alexandria, Virginia
Public Comment John Dixon, Statistician, Kensington, Maryland
Public Comment John Dodge, retired, Illinois
Public Comment John H. Alvis, Vienna, Virginia
Public Comment John S. Davis, CFP, President, Mentor Capital Management Inc., Elmhurst, Illinois
Public Comment John S. Simmers, CEO, ING Advisors Network
Public Comment John S. Simmers, CEO, ING Advisors Network
Public Comment Justin M. Wilson, Ed.D, MBA, Lemont, Illinois
Public Comment Merrill D. Kirshenbaum, Active Investor, Springfield, Virginia
Public Comment Michael D. Lyman, Dulles, Virginia
Public Comment Olga E. Callender
Public Comment Paul P. Vangellow, Falls Church, Virginia
Public Comment Peter L. Brett, Leesburg, Virginia
Public Comment Peter Rose
Public Comment Phil Comstock, Annapolis, Maryland
Public Comment Richard F. Reiff, Crystal Lake, Illinois
Public Comment Scott R. Johnson, CRNA, McHenry, Illinois
Public Comment Sophie Kaluziak, CPA, Oak Park, Illinois
Public Comment Ted M. Temkin, Ph.D., Hospital administrator, Oak Park, Illinois
Public Comment Tim J. Pitterle, Geneva, Illinois
Public Comment Wayne Stogner, Fairfax, Virginia

Last Reviewed or Updated: Dec. 18, 2025

File Number
S7-06-04
Release Number
33-8358
34-49148
IC-26341
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