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 16, 2004	Public Comment	Jack Cumming, Mar Vista, California
March 16, 2004	Public Comment	Jack M. Maxfield, American Association of Individual Investors, Past Chair, Silicon Valley Chapter, Saratoga, California
March 16, 2004	Public Comment	Jacquelyn Landreth, CPA, AICPA, California Society of CPAs, Anaheim, California
March 16, 2004	Public Comment	Jeff Larimore, registered representative, Hobart, Indiana
March 16, 2004	Public Comment	Jeffrey R. Latts, MD, Tiburon, California
March 16, 2004	Public Comment	Joe W. Janick, Member of the Financial Planning Association, Phoenix, Arizona
March 16, 2004	Public Comment	Joel J. Lifter, La Quinta, California
March 16, 2004	Public Comment	John Kazik
March 16, 2004	Public Comment	Kathleen Littlefield
March 16, 2004	Public Comment	Keith Merson, Cool, California
March 16, 2004	Public Comment	Larry Cohen
March 16, 2004	Public Comment	Louise N. Trygstad, AAII member, San Francisco, California
March 16, 2004	Public Comment	Lowell Hill
March 16, 2004	Public Comment	Lyndon J. Taylor, San Marino, California
March 16, 2004	Public Comment	Mary Jo Bott
March 16, 2004	Public Comment	Maurice F. Murphey, Half Moon Bay, California
March 16, 2004	Public Comment	Melvyn B. Schupack, MD, retired physician - Associate Clinical Professor of Psychiatry (UCSF), Walpole, New Hampshire
March 16, 2004	Public Comment	Nat Gutmacher, Scotch Plains, New Jersey
March 16, 2004	Public Comment	Norman R. Cohen, Esq., Beverly Hills, California
March 16, 2004	Public Comment	Paul T. Maser, Carson City, Nevada
March 16, 2004	Public Comment	Richard Berwanger, Cypress, California
March 16, 2004	Public Comment	Richard L. Estes, Jr., Tucson, Arizona
March 16, 2004	Public Comment	Richard M. Thalhammer, Sacramento, California
March 16, 2004	Public Comment	Rick Carlson, Illinois
March 16, 2004	Public Comment	Robert E. Learned, Ph.D., retired U.S. Geological Survey geologist, Tucson, Arizona
March 16, 2004	Public Comment	Robert Plumer, Glen Rock, New Jersey
March 16, 2004	Public Comment	Rod Burk, CFA, Medford, New Jersey
March 16, 2004	Public Comment	Ronald D. Rubach, Clarksville, Michigan
March 16, 2004	Public Comment	Ronald G. Harper, M.D.
March 16, 2004	Public Comment	Ronald G. Pouliot, Little Compton, Rhode Island

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