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 5, 2004	Public Comment	James E. Wann
March 5, 2004	Public Comment	Kevin B. McGrath, Southborough, Massachusetts
March 5, 2004	Public Comment	Raj Kumar
March 5, 2004	Public Comment	Randy Nicholls, Registered Principal, Mutual Service Corporation, Auburn, Washington
March 5, 2004	Public Comment	Sol Demel
March 4, 2004	Public Comment	Archie Woodworth
March 4, 2004	Public Comment	Brodie Landry, Certified Fund Specialist, Lafayette, Louisiana
March 4, 2004	Public Comment	Deena K. Dean, Fort Pierce, Florida
March 4, 2004	Public Comment	Lloyd D. Lowe, Sr., Frisco, Texas
March 3, 2004	Public Comment	Daniel T. Griner, Registered Representative, Mutual Service Corporation, Bellevue, Washington
March 3, 2004	Public Comment	Denise A. Izatt, Oak Brook, Illinois
March 3, 2004	Public Comment	Eliezer Kapuya
March 3, 2004	Public Comment	J.F. Armstrong
March 3, 2004	Public Comment	James P. Ruth, CFP, Member, Financial Planning Association, Gaithersburg, Maryland
March 3, 2004	Public Comment	Joan Gast
March 3, 2004	Public Comment	John Bill, CFP, Greendale, Wisconsin
March 3, 2004	Public Comment	John P. Andrew, CRS, Plymouth, Minnesota
March 3, 2004	Public Comment	John Woodward
March 3, 2004	Public Comment	Julie Gebert, Vice President, United Planners Financial Services of America
March 3, 2004	Public Comment	Kevin Bankerd, Owner, Bankerd Financial Services, Tomball, Texas
March 3, 2004	Public Comment	Marianne Wisner, Westlake, Ohio
March 3, 2004	Public Comment	Mark R. Sprouse, Redlands, California
March 3, 2004	Public Comment	Marvin M. Smyth, Dearborn, Michigan
March 3, 2004	Public Comment	Merwyn Grace
March 3, 2004	Public Comment	Patrick M. Stenson, Plymouth, Minnesota
March 3, 2004	Public Comment	Reed Moore, Registered Representative, Registered Principal, Federal Way , Washington
March 3, 2004	Public Comment	William M. Hay, Registered Representative, Polar Investment Counsel, Inc., New Richmond, Wisconsin
March 2, 2004	Public Comment	Alan W. Takahashi, Sun Valley, California
March 2, 2004	Public Comment	Barb J. Bendler, Independence, Oregon
March 2, 2004	Public Comment	David J. Romagosa, CFP, MSFS, Adjunct Faculty, University of Louisiana at Lafayette and CFP, Lafayette, Louisiana

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