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 9, 2004	Public Comment	Eric L. Williams, Zachary, Louisiana
March 9, 2004	Public Comment	Ralph E. Gott
March 9, 2004	Public Comment	Richie Herink
March 9, 2004	Public Comment	Robert H. Aldridge, Weldon Spring, Missouri
March 9, 2004	Public Comment	Ronald L. Lingle
March 8, 2004	Public Comment	Chris J. DiVito, CLU, CHFC, Mutual Service Corp, Westlake, Ohio
March 8, 2004	Public Comment	David D. Johnson, Newcastle, California
March 8, 2004	Public Comment	David Shutvet, Palatine, Illinois
March 8, 2004	Public Comment	Donna M. Wolf, CFP, Mequon, Wisconsin
March 8, 2004	Public Comment	Dorothy W. Stringer
March 8, 2004	Public Comment	Douglas E. Prescott, Orlando, Florida
March 8, 2004	Public Comment	Kwame Kwakye, Beltsville, Maryland
March 8, 2004	Public Comment	Lynn E. Alexander
March 8, 2004	Public Comment	Peter H. Seckel
March 8, 2004	Public Comment	Victoria C. Morgan
March 8, 2004	Public Comment	Walford A. Campbell
March 7, 2004	Public Comment	Anthony Luzzi, Sterling, Massachusetts
March 7, 2004	Public Comment	Elizabeth Harper
March 7, 2004	Public Comment	Robert P. Fahey, CPA, Delavan, Wisconsin
March 7, 2004	Public Comment	Tony T. Lou, Chicago, Illinois
March 6, 2004	Public Comment	Bruce D. Giese, Edwards, Colorado
March 6, 2004	Public Comment	C.S. Gaillard, AAII Financial Planner AFP
March 6, 2004	Public Comment	George H. Gardner, CLU, CHFC, Portland, Oregon
March 6, 2004	Public Comment	Jessie Havens, Belle Mead, New Jersey
March 6, 2004	Public Comment	Kenneth Sablik, retired, Novato, California
March 5, 2004	Public Comment	38 Students of Prof. Jeffrey Sonnenfeld, Yale University
March 5, 2004	Public Comment	Darron R. Bergstrom, Mutual Service Corporation, Corpus Christi, Texas
March 5, 2004	Public Comment	Doctor Amazing
March 5, 2004	Public Comment	Gregory P. Fasig, Investment Officer, Reliance Financial Services, N.A., Defiance, Ohio
March 5, 2004	Public Comment	Hugh E. Nichols, financial consultant, St. Charles, Missouri

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