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	Thomas J. Capel, Long Beach, California
March 17, 2004	Public Comment	William H. Steese, Mesa, Arizona
March 17, 2004	Public Comment	William P. Aldrich, West Newton, Massachusetts
March 16, 2004	Public Comment	Alice McCarley, Los Gatos, California
March 16, 2004	Public Comment	Andrew Kempiak, Glendale, California
March 16, 2004	Public Comment	Arnold V. Gilbert
March 16, 2004	Public Comment	Charles Erickson, fee-only financial retirement advisor, Phoenix, Arizona
March 16, 2004	Public Comment	David D. Porter, MD, retired, Santa Monica, California
March 16, 2004	Public Comment	David F. Childs, Penn Valley, Florida
March 16, 2004	Public Comment	David L. Singer, retiree, Lexington, Massachusetts
March 16, 2004	Public Comment	David Lee
March 16, 2004	Public Comment	David Wolf, Flagstaff, Arizona
March 16, 2004	Public Comment	Denis N. Calvert, retired aerospace management, La Habra, California
March 16, 2004	Public Comment	Donald Gjesdal, MD
March 16, 2004	Public Comment	Dr. Richard J. Frink, retired doctor, Sacramento , California
March 16, 2004	Public Comment	Duncan Scott, Tucson, Arizona
March 16, 2004	Public Comment	Edgar A. Kraut, Ph.D., research physicist, Thousand Oaks, California
March 16, 2004	Public Comment	Edmond G. Rousseau, Chelmsford, Massachusetts
March 16, 2004	Public Comment	Elsa Nervik, Clinical Application Specialist, Nursing Informatics, El Dorado Hills, California
March 16, 2004	Public Comment	Emmett Rogers, Andalusia, Alaska
March 16, 2004	Public Comment	George W. Baylis, member of AAII, East Brunswick, New Jersey
March 16, 2004	Public Comment	Gordon Muir
March 16, 2004	Public Comment	Greg C. Jacobus, Campbell, California
March 16, 2004	Public Comment	Gwen W. Brewer, Ph.D., Professor Emeritus, California Stater University, Northridge, Los Angeles, California
March 16, 2004	Public Comment	Harold D. Foster, investor, Casa Grande, Arizona
March 16, 2004	Public Comment	Harold H. Warkentin, Hughson, California
March 16, 2004	Public Comment	Harry Sondheim, Esquire
March 16, 2004	Public Comment	Howard Hoffman, Esq., Granite Bay, California
March 16, 2004	Public Comment	Irene M. Vilona-Labonne, CFP, Delavan, Wisconsin
March 16, 2004	Public Comment	J. Craig Bell, San Ramon, California

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