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 22, 2004	Public Comment	Paul Ranaldo, Westfield, New Jersey
March 22, 2004	Public Comment	Rod Sato
March 22, 2004	Public Comment	Shaz Kahng
March 22, 2004	Public Comment	Stanley Marcus
March 22, 2004	Public Comment	Thomas Butler, M.D., retired, former Assistant Professor of Psychiatry, Cornell Medical College, Larchmont, New York
March 21, 2004	Public Comment	Dean D. Duncan, College Station, Texas
March 21, 2004	Public Comment	Jill J. Todd, retired educator, Shoreview
March 21, 2004	Public Comment	John D. Lee, Eaton, Ohio
March 21, 2004	Public Comment	John Peacock, Birmingham, Alabama
March 21, 2004	Public Comment	John T. Smith, M.D., Beaumont, Texas
March 21, 2004	Public Comment	Phyllis Brown, realtor, salesperson at Carlson GMAC Real Estate, Derry, New Hampshire
March 21, 2004	Public Comment	Robert H. Swee, dentist, New York, New York
March 21, 2004	Public Comment	Ronald Engelsman, Secretary of the Orange County Chapter of AAII, Anaheim, California
March 21, 2004	Public Comment	Ruth H. Koehler, retired air quality consultant, Portola Valley, California
March 20, 2004	Public Comment	David Worthington, Sacramento, California
March 20, 2004	Public Comment	George G. Goss, Tacoma, Washington
March 20, 2004	Public Comment	John Deinken, IP Counsel, Rockwell Scientific Company, Thousand Oaks, California
March 20, 2004	Public Comment	Karen S. Morgan, Rocklin, California
March 20, 2004	Public Comment	Lyle W. Lampshire, Pharmacist, Folsom, California
March 20, 2004	Public Comment	Paul Cleek, Houston, Texas
March 20, 2004	Public Comment	Roger E. Burnside, President, Alaska Chapter, National Association of Investors Corp., Anchorage, Alaska
March 20, 2004	Public Comment	Thomas Walborn, California
March 20, 2004	Public Comment	Whitni Baker, Chandler, Arizona
March 19, 2004	Public Comment	Alan M. Holzberg, retired, Houston, Texas
March 19, 2004	Public Comment	Albertus J. Ekelmans, project manager, retired, Houston, Texas
March 19, 2004	Public Comment	Arnold J. Seidule, AAII, Lake Jackson, Texas
March 19, 2004	Public Comment	B. Hooberry
March 19, 2004	Public Comment	Barry B. Wrenn, San Clemente, California
March 19, 2004	Public Comment	Bobby H. Wong, investor, San Francisco, California
March 19, 2004	Public Comment	Clayton C. Cates, Corpus Christi, Texas

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