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	Marilyn M. Wilson, Petaluma, California
March 17, 2004	Public Comment	Mark I. Varnadoe, Jr., Los Angeles, California
March 17, 2004	Public Comment	Michael F. Dailey, Joppa, Maryland
March 17, 2004	Public Comment	Michael Keenan, CFA, Professor of Finance (retired), New York University, New York, New York
March 17, 2004	Public Comment	Michael N. Becci, Esq., retired, Stone Harbor, New Jersey
March 17, 2004	Public Comment	Monte R. Littell, Ed. D. , Senior Vice President, TPI, Phoenix, Arizona
March 17, 2004	Public Comment	Myron Koltuv, Ph.D, Clinical Psychologist, New York, New York
March 17, 2004	Public Comment	Nat Gutmacher, Scotch Plains, New Jersey
March 17, 2004	Public Comment	Nathan Wexler
March 17, 2004	Public Comment	Pamela Gilbert, Co-Founder, RestoreTheTrust.com
March 17, 2004	Public Comment	Paul A. Zimmerman, Milpitas, California
March 17, 2004	Public Comment	Paul Price, South Salem, New York
March 17, 2004	Public Comment	Peter G. Dearing, New York, New York
March 17, 2004	Public Comment	Piotr J. Enzinger, Lake Ronkonkoma, New York
March 17, 2004	Public Comment	R. Ronald Rau, Ph.D., Senior Physicist , Brookhaven National Laboratory --retired, Upton, New York
March 17, 2004	Public Comment	Reginald W. Burroughs, Investment Specialist, New England Securities, Neptune, New Jersey
March 17, 2004	Public Comment	Rich Bremenour, Reno, Nevada
March 17, 2004	Public Comment	Richard J. Cohen, Stamford, Connecticut
March 17, 2004	Public Comment	Robert Carlisle, Carmel, California
March 17, 2004	Public Comment	Robert D. Flori, Phoenix, Arizona
March 17, 2004	Public Comment	Robert Hammerle
March 17, 2004	Public Comment	Robert L. Gover, Orange, California
March 17, 2004	Public Comment	Robert Miller
March 17, 2004	Public Comment	Robert P. Burney, Jr.
March 17, 2004	Public Comment	Rolf H. Henel, board director, Wayne, New Jersey
March 17, 2004	Public Comment	Ronald S. Sommer, Associate Director for Finance Administration, State University of New York, Brooklyn Educational Opportunity Center, New York, New York
March 17, 2004	Public Comment	Sally Pezza, Brookhaven, New York
March 17, 2004	Public Comment	Scott K. Lewis, Member MJSA, Sonoran Arts League, AAII, Cave Creek, Arizona
March 17, 2004	Public Comment	Steven P. Mickley, MD, Greenwich, Connecticut
March 17, 2004	Public Comment	Terry A. Hurlbut, managing member, Law-Med Consultants LLC, Short Hills, New Jersey

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:

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