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 18, 2004	Public Comment	Dale T. Derby, Nehalem, Oregon
March 18, 2004	Public Comment	Derek Hindigian, Saugus, California
March 18, 2004	Public Comment	Geraldine F. Quisenberry, Mrs., Fountain Hills, Arizona
March 18, 2004	Public Comment	Hosea M. Alexander Sr., Los Angeles, California
March 18, 2004	Public Comment	J.O. Harris
March 18, 2004	Public Comment	Janet Naganheim
March 18, 2004	Public Comment	John E. Soraghan, Dover, Massachusetts
March 18, 2004	Public Comment	John H. Piper, Contract Manufacturing Manager, Clorox Company, Roswell, Georgia
March 18, 2004	Public Comment	Kathy O'Shaughnessy
March 18, 2004	Public Comment	Kevin T. Hughes, Esq., Pt. Lookout, New York
March 18, 2004	Public Comment	Leon H. Liebman, Fairfield, Connecticut
March 18, 2004	Public Comment	Mike Neely, Windsor, California
March 18, 2004	Public Comment	Morgan Rowzan, Investor, Great Neck, New York
March 18, 2004	Public Comment	Pamela S. Lanyon, Bridgeport, Connecticut
March 18, 2004	Public Comment	Patrick S. Baldy
March 18, 2004	Public Comment	Peter M.V. Nelson, Member AAII and NAIC, Aloha, Oregon
March 18, 2004	Public Comment	Richard D. Thompson, Financial Consultant - TIAA -CREF, Atlanta, Georgia
March 18, 2004	Public Comment	Richard I. Ulman, New York
March 18, 2004	Public Comment	Robert B. Alderfer, J.D., Northwestern Mutual Financial Network, Manchester, New Hampshire
March 18, 2004	Public Comment	Robert G. Dugre, Bohemia, New York
March 18, 2004	Public Comment	Robert L. Baker, Newberg, Oregon
March 18, 2004	Public Comment	Ruth Stafford, Ph.D., Psychologist, Laguna Beach, California
March 18, 2004	Public Comment	Sally D. Choong, Boring, Oregon
March 18, 2004	Public Comment	Stanley Runyon, East Brunswick, New Jersey
March 18, 2004	Public Comment	Steven Segall, Brooklyn, New York
March 18, 2004	Public Comment	Tom J. Gilhuley, New York
March 18, 2004	Public Comment	V.J.L. Nemana, American Association of Individual Investors, Carmichael, California
March 18, 2004	Public Comment	William S. Marrs, Chatsworth, California
March 18, 2004	Public Comment	William T. Walton, Gaston, Oregon
March 17, 2004	Public Comment	August DiVito, CLU, ChFC, MSFS, MDRT, NASD, American College, Westlake, Ohio

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