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

Filter comments

Date Received
Date Letter Type Commenter Name
Public Comment Edward S. Campbell, Registered Representative, Mutual Service Corp., Westerville, Ohio
Public Comment Elinor Ho, Shelby Township, Michigan
Public Comment Elizabeth Brickman, CFP, Miami, Florida
Public Comment Elizabeth Krentzman, General Counsel, Investment Company Institute
Public Comment Emily J. Poriss, Second Vice President & Associate General Counsel, Massachusetts Mutual Life Insurance Company
Public Comment Ethan Bonar
Public Comment Fred O'Brien
Public Comment Gary A. Sanders, Senior Counsel, Law and Government Relations, NAIFA, and Thomas F. Korb, Director of Government Affairs, AALU
Public Comment Gary B. Bjornson, Registered Principal, Linsco/Private Ledger Financial Services
Public Comment George M. Gilchrist, Registered Representative, Great American Advisors, Inc., Orangeburg, South Carolina
Public Comment Gerald L. Raymond, Newport Beach, California
Public Comment Grace C. Wellwerts, MS, CFP, CLU , Avon, Colorado
Public Comment Greg L. La Pierre, Financial Planner, Portsmouth, New Hampshire
Public Comment Gregory E. Smith, CFA, President, Sunset Financial Services, Inc.
Public Comment Harlan D. Wenig, Coral Springs, Florida
Public Comment Harry H. Branning, President & CEO, Branning Financial Group, LLC
Public Comment Henry H. Hopkins, Chief Legal Counsel, T. Rowe Price Investment Services, Inc.
Public Comment Ira D. Hammerman, Senior Vice President and General Counsel, Securities Industry Association
Public Comment Jack R. Anderson, CLU/CFP, Fishers, Indiana
Public Comment Jack R. Fay, CFP, Senior Financial Planner, Dublin, Ohio
Public Comment Jacqueline M. Mauro, registered representative, Troy, Michigan
Public Comment James F. Jurczak, Augusta, Maine
Public Comment James G. Timpa, LUTCF, Clinton Twp., Michigan
Public Comment Janice K. Hobbs, MBA, CFP, CFCA
Public Comment Jeanne L. Montgomery, CSC, Pittsford, New York
Public Comment Jeff A. Huff, Tacoma, Washington
Public Comment Jeffrey Andrews
Public Comment Jeffrey M. Auld, President/CEO, NEXT Financial Group, Inc., Houston, Texas
Public Comment Jeffrey W. Hendry
Public Comment Jim Garrett, CFP, Financial Planner, San Antonio, Texas

Last Reviewed or Updated: Dec. 18, 2025

File Number
S7-06-04
Release Number
33-8358
34-49148
IC-26341
How to submit comments