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 Received
Date Letter Type Commenter Name
Public Comment John A. Spangle, CFP, Registered Principal, Linsco Private Ledger
Public Comment John Bill, CFP, Greendale, Wisconsin
Public Comment John F. Robbins, Registered Representative, Trenton, Michigan
Public Comment John H. Grady, President, Constellation Investment Distributors Company Inc., Berwyn, Pennsylvania
Public Comment John M. Shartrand, AAMS, ChFC, Chief Investment Officer, CAPCOM Financial Services
Public Comment John S. Simmers, CEO, IND Advisors Network
Public Comment John S. Watts, Senior Vice President and Chief Counsel, PFS Investments Inc.
Public Comment Joseph C. Merrill
Public Comment Joseph J. Drzewiecki, CLU, ChFC, Appleton, Wisconsin
Public Comment Joyce Swoyer
Public Comment Jules F. Bergman, CDFA, Plantation, Florida
Public Comment Jules F. Bergman, CDFA, Plantation, Florida
Public Comment Jules F. Bergman, Plantation, Florida
Public Comment Kathleen McInerney, CFP
Public Comment Keith R. Camacho, Honolulu, Hawaii
Public Comment Kelly L. Higgins, Sterling Heights, Michigan
Public Comment Kimberly Miller, Akron, Ohio
Public Comment Larry G. Catallo, Coral Springs, Florida
Public Comment Laurie Lennox, Vice President and Chief Compliance Officer, Commonwealth Financial Network
Public Comment Lorian K. Petry, CFP, Financial Advisor, Newport Beach, California
Public Comment Louis W. Meyer, Jr., CFP, Cincinnati, Ohio
Public Comment Lynn R. Goldney, Lake Havasu City, Arizona
Public Comment Mark A. Jones, CPA, President, Mark A. Jones & Assoc., PC, Richmond, Virginia
Public Comment Mark R. Sprouse, Redlands, California
Public Comment Mark Reynolds
Public Comment Mark S. Howard, Senior Vice President, Sectretary and Counsel, USAA Investment Management Company
Public Comment Mark S. Shelton, General Counsel, USB Financial Services
Public Comment Martin J. Lombrano, Mutual Service, Corp., Irvine, California
Public Comment Max C. Belcher, CLU, CHFC, Denver, Colorado
Public Comment Melanie L. Fein, Goodwin Procter LLP on behalf of Federated Investors, Inc.

Last Reviewed or Updated: Dec. 18, 2025

File Number
S7-06-04
Release Number
33-8358
34-49148
IC-26341
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