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 11, 2004	Public Comment	David Phillips, Trussville, Alabama
March 11, 2004	Public Comment	Dennis Baker, retired
March 11, 2004	Public Comment	Durwood Hatch
March 11, 2004	Public Comment	Eddie Heath, III, IT professional, Atlanta, Georgia
March 11, 2004	Public Comment	Elizabeth F. Howell, M.D., Atlanta, Georgia
March 11, 2004	Public Comment	Frederick Levitt, Pittsboro, North Carolina
March 11, 2004	Public Comment	Gordon B. Nicholson, president and owner of a business brokerage firm, Atlanta, Georgia
March 11, 2004	Public Comment	Ivan E. Mock, retired, Kyles Ford, Tennessee
March 11, 2004	Public Comment	James W. Berutti, Roswell, Georgia
March 11, 2004	Public Comment	JoAnne C.R. Leveroni, financial planner, Leveroni Financial Management Corp., Braintree, Massachusetts
March 11, 2004	Public Comment	Paul J. Nadel, M.S.F.S., Parkland, Florida
March 11, 2004	Public Comment	Scott E. Johnson, Roswell, Georgia
March 11, 2004	Public Comment	Shannon S. Audley, RN, Bow, New Hampshire
March 11, 2004	Public Comment	Theodore Luciani, Wanaque, New Jersey
March 11, 2004	Public Comment	Thomas J. Clark, Atlanta, Georgia
March 11, 2004	Public Comment	Timothy W. Leveroni, CFP, financial planner, Leveroni Financial Management Corp., Braintree, Massachusetts
March 11, 2004	Public Comment	William H. Wages, Jr., retired, Lawrenceville, Georgia
March 11, 2004	Public Comment	William J. Rochelle, Ph.D., Lithia Springs, Georgia
March 11, 2004	Public Comment	Z. Jane Riley, Compliance Officer, The Leaders Group, Inc.
March 10, 2004	Public Comment	Carvel C. Hase
March 10, 2004	Public Comment	George A.Traeger
March 10, 2004	Public Comment	Janet P. Corcoran, Davenport, Iowa
March 10, 2004	Public Comment	John T. Wigington , III, VP, Business Development, Huntsville, Alabama
March 10, 2004	Public Comment	Joseph E. Hachey
March 10, 2004	Public Comment	Judy Parks
March 10, 2004	Public Comment	Kenneth J. Warras, Birmingham, Alabama
March 10, 2004	Public Comment	Marcia Blackman, San Rafael, California
March 9, 2004	Public Comment	Charles B. Milliken, CFP, Registered Principal, Mutual Service Corporation, Farmington Hills, Michigan
March 9, 2004	Public Comment	Donald E. Foster
March 9, 2004	Public Comment	Donna J. Matheney, Joe Becks & Associates, Inc., General Contractors

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