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 15, 2004	Public Comment	Steve Prudhomme
March 15, 2004	Public Comment	Steve Toll, Los Altos, California
March 15, 2004	Public Comment	Steven Pollock
March 15, 2004	Public Comment	Surendra Adodra, San Jose, California
March 15, 2004	Public Comment	William Braden, Providence, Rhode Island
March 15, 2004	Public Comment	William H. Blankertz, Red Bank, New Jersey
March 15, 2004	Public Comment	William R. Morse, retired military/civil service, Union City, California
March 15, 2004	Public Comment	Yale Goldman, South Pasadena, Florida
March 14, 2004	Public Comment	Donald C. Friedmann, Owings Mills , Maryland
March 14, 2004	Public Comment	Elisabeth C. Galea, CFP, Plymouth, Michigan
March 14, 2004	Public Comment	Elisabeth Frye, regular person, Mount Airy, Maryland
March 14, 2004	Public Comment	Elliot S. Lipson, Ph.D., CFP, ChFC, CLU, President, New Horizons Financial Advisors, Inc., Alpharetta, Georgia
March 14, 2004	Public Comment	F. Walter Savage, The Savage Group
March 14, 2004	Public Comment	Gerald J. Duffy, Palos Park, Illinois
March 14, 2004	Public Comment	Harry F. Hughes, MD, Evans, Georgia
March 14, 2004	Public Comment	Ivan J. Gibbs, BSEE, Reno, Nevada
March 14, 2004	Public Comment	Mary Clor, Rising Fawn, Georgia
March 14, 2004	Public Comment	Wheeler J. Lalonde, Belle Chasse, Louisiana
March 13, 2004	Public Comment	Albert D. Leaach, IEEE, Suwanee, Georgia
March 13, 2004	Public Comment	Errol Roberts
March 13, 2004	Public Comment	Robert L. Adams, private investor, associated with the National Association of Investors Corp. (NAIC), Royal Oak, Michigan
March 13, 2004	Public Comment	Robert T. Gagnard, realtor, semi-retired, Metairie, Louisiana
March 12, 2004	Public Comment	Boidn A. Hugger, Kenner, Louisiana
March 12, 2004	Public Comment	Cecil P. Eschete, retired, Houma, Louisiana
March 12, 2004	Public Comment	Charles R. Baugh, Watkinsville, Georgia
March 12, 2004	Public Comment	Kathleen Browning Ceicys, MBA, Financial advisor, Cleveland, Ohio
March 12, 2004	Public Comment	Paul B. Francis, Atlanta, Georgia
March 11, 2004	Public Comment	Anne W. Townsley, Atlanta, Georgia
March 11, 2004	Public Comment	Barry L. Fields, MD, Birmingham, Alabama
March 11, 2004	Public Comment	Daniel W. Leveroni, CFP, Braintree, Massachusetts

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