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 24, 2004	Public Comment	William J. McNally, Chicago, Illinois
March 23, 2004	Public Comment	Anonymous reviewer
March 23, 2004	Public Comment	Bob Gardner, Sacramento, California
March 23, 2004	Public Comment	Clare M. Handcock, Roseville, California
March 23, 2004	Public Comment	David L. Gabay, CFP, Tarrytown, New York
March 23, 2004	Public Comment	David Stevens
March 23, 2004	Public Comment	Glenda Patrick
March 23, 2004	Public Comment	Joseph L. Cannava, ChFC, Financial Advisor, Newport Beach, California
March 23, 2004	Public Comment	Joyce Brandl, Tempe, Arizona
March 23, 2004	Public Comment	Kent Hamill, CFS
March 23, 2004	Public Comment	Ray Rauth, Weston, Connecticut
March 23, 2004	Public Comment	Robert Huxley
March 23, 2004	Public Comment	Samuel R. Snodgrass, physician, Pasadena,, California
March 23, 2004	Public Comment	Thomas Guerriero, Wakefield, Massachusetts
March 23, 2004	Public Comment	Troy M. Smith, CFP, Navigon Financial Group, Inc.
March 23, 2004	Public Comment	Valerie N. Oliver
March 22, 2004	Public Comment	Anthony C. Webster, New York, New York
March 22, 2004	Public Comment	Camille Kiegel
March 22, 2004	Public Comment	Carl H. Urist, General Counsel, Omgeo LLC
March 22, 2004	Public Comment	D. E. Chandler
March 22, 2004	Public Comment	David L. Rainwater, San Antonio, Texas
March 22, 2004	Public Comment	Dennis Berthold
March 22, 2004	Public Comment	Edward T. Duffy
March 22, 2004	Public Comment	Helen Antinoro
March 22, 2004	Public Comment	John M. Wallace
March 22, 2004	Public Comment	John Seaborough
March 22, 2004	Public Comment	Jugnu J. Ojha
March 22, 2004	Public Comment	Kenneth W. Hoyal, CFE, Ogden, Utah
March 22, 2004	Public Comment	Louise Romanow
March 22, 2004	Public Comment	Nancy J. Smith

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