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	Ruth-Ellen Post, J.D., undergraduate law instructor, Daniel Webster College , Nashua, New Hampshire
March 16, 2004	Public Comment	Scott E. Holstein, CPA, PFS, AICPA, PSBA, Feasterville, Pennsylvania
March 16, 2004	Public Comment	Sheila Goldshine, Los Altos, California
March 16, 2004	Public Comment	Sonna Bell, Member, AAII, La Canada, California
March 16, 2004	Public Comment	Sunil Prajapati
March 16, 2004	Public Comment	Terrence T. Holleran
March 16, 2004	Public Comment	Thomas Booy, Cerritos, California
March 16, 2004	Public Comment	Thomas L. Pruitt, retired, Manhattan Beach, California
March 16, 2004	Public Comment	Waldo C. Preble, Raymond, Maine
March 16, 2004	Public Comment	Wesley Witten, Reno, Nevada
March 16, 2004	Public Comment	Whitney S. Wilson, Rancho Palos Verdes, California
March 16, 2004	Public Comment	William D. Armes, AAII member, Financial Planning Association member, Long Beach, California
March 16, 2004	Public Comment	William L. Hartrick
March 15, 2004	Public Comment	Alida C. Field, Burlingame, California
March 15, 2004	Public Comment	Allen J. Tozier, Green Valley, Arizona
March 15, 2004	Public Comment	Anonymous reviewer
March 15, 2004	Public Comment	Arturo Maimoni, Ph.D., Orinda, California
March 15, 2004	Public Comment	Barbara S. Stewart, Boca Raton, Florida
March 15, 2004	Public Comment	Carl E. Gallagher, San Francisco, California
March 15, 2004	Public Comment	Caroleann Toronto
March 15, 2004	Public Comment	Charles G. Simon, CLU, Covington, Louisiana
March 15, 2004	Public Comment	Charles S. Phelan, Millington, New Jersey
March 15, 2004	Public Comment	Chas J. Richardson
March 15, 2004	Public Comment	Ciro Malleo, Newark, New Jersey
March 15, 2004	Public Comment	Dan Ottenheimer, Rockport, Massachusetts
March 15, 2004	Public Comment	Daryl L. Johnson, Peoria, Arizona
March 15, 2004	Public Comment	David Clinehens
March 15, 2004	Public Comment	David E. Ulmer, M.D., Sebastopol, California
March 15, 2004	Public Comment	David Kneapler, Hillsborough, California
March 15, 2004	Public Comment	David M. Hinman, J.D., investment manager, Sacramento, 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