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 17, 2004	Public Comment	Bruce B. Stoler, MD, American Association of Individual Investors, Springfield, Massachusetts
March 17, 2004	Public Comment	Carroll B. Cox, Dana Point, California
March 17, 2004	Public Comment	Clyde Ewalt, Prescott, Arizona
March 17, 2004	Public Comment	Dan Keppel, CEO, Insurance Advisors Network, LLC, Montclair, New Jersey
March 17, 2004	Public Comment	Daniel M. Philbin, Sherborn, Massachusetts
March 17, 2004	Public Comment	Darrell B. Lynch, Milford, Connecticut
March 17, 2004	Public Comment	David Ginsberg, Skokie, Illinois
March 17, 2004	Public Comment	Dennis Barnes, Irvine, California
March 17, 2004	Public Comment	Dennis J. Leary, CEO and Chairman, Leary Engineering LLC., Kinnelon, New Jersey
March 17, 2004	Public Comment	Dennis O'Brien, Farmingdale, New Jersey
March 17, 2004	Public Comment	Diane Mark, Port Jefferson, New York
March 17, 2004	Public Comment	Dominic Cantello , Jr., Somerset, New Jersey
March 17, 2004	Public Comment	Donald J. Levy, Mountain View, California
March 17, 2004	Public Comment	Edward A. Picciuti, Toms River, New Jersey
March 17, 2004	Public Comment	Ernest Beyer
March 17, 2004	Public Comment	Frank P. Kromer, Ridgefield, Connecticut
March 17, 2004	Public Comment	Hal Childs, Vallejo, California
March 17, 2004	Public Comment	Henry N. Oppenheimer, Larchmont, New York
March 17, 2004	Public Comment	Howard Scheffner
March 17, 2004	Public Comment	Jack Dannel
March 17, 2004	Public Comment	Jack Park, BSC Securities, Longview, Texas
March 17, 2004	Public Comment	James A. McAllister
March 17, 2004	Public Comment	Jean P. Huberman, MD, AAII, Settauket, New York
March 17, 2004	Public Comment	Jeffrey Pasquinelli, Chino Hills, California
March 17, 2004	Public Comment	Joel Bendar, MBA, American Association of Individual Investors, Woodbridge, New Jersey
March 17, 2004	Public Comment	John A. Jacobs, Manchester, New Jersey
March 17, 2004	Public Comment	Keith D. Jewell, formerly holder of Series 7 and 63 licenses., New York, New York
March 17, 2004	Public Comment	Kenneth H. Resnik, County Judge, Rockland County, New York, Chestnut Ridge, New York
March 17, 2004	Public Comment	Madhukar P. Rau, Randolph, New Jersey
March 17, 2004	Public Comment	Marie DeCaprio

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