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 David K. Booth, President, Jefferson Pilot Securities Corporation
Public Comment Gerald L. Raymond, Orange, California
Public Comment Joseph P. Trybula, CFP, Town Country, Missouri
Public Comment Joseph T. Mann, CEO, MBA Financial Advisors, Atlanta, Georgia
Public Comment Mason Flake, Sr., Evansville, Indiana
Public Comment Reed H. Moore, registered Representative, Registered Principal, Federal Way , Washington
Public Comment Steven G. Van Scoik, CIC, Elkhart, Indiana
Public Comment Bart L. McGonnigal, Loudonville , New York
Public Comment Brett A. Young, Olivet, Michigan
Public Comment Charles L. Stanley, Financial Planner, Escondido, California
Public Comment Charles T. Bush, II
Public Comment Christine Bucko
Public Comment Craig A. Johnson, Plymouth, Minnesota
Public Comment David J. McBride, CPA, CFP, Mesa, Arizona
Public Comment David R. Butts, CFP, CMFC, Saginaw, Michigan
Public Comment David W. Boyer, Puyallup, Washington
Public Comment Dawn Hollerith, Healdsburg, California
Public Comment Dennis Kaminski, Executive Vice President/CAO, Mutual Service Corporation
Public Comment Eric B. Landers, Registered Representative, Romeo, Michigan
Public Comment Eric Jahnke, Branch Office Manager/ MSC Corp, Grand Junction, Colorado
Public Comment Geoffrey L. London, Financial Advisor with New Era Financial Advisors Mutual Service Corp, Mpls, Minnesota
Public Comment Gloria Vonderheide, ChFC, Registered Representative, Mutual Service Corp, Grand Rapids, Michigan
Public Comment Greg La Pierre, ChFC, Financial Planner, Mutual Service Corporation
Public Comment J. Mitchell
Public Comment Jack Gambetta, CFP, Past member, Board of Directors, Financial Planning Assoc. Cincinnati Chapter, Cincinnati, Ohio
Public Comment Jeffery L. Smith, Darlington, South Carolina
Public Comment John J. Moynihan, St. Louis , Missouri
Public Comment John S. Beall, ChFC,CLU,LUTCF, LIC, Berrien Springs, Michigan
Public Comment Joseph F. Dillman, Thousand Oaks, California
Public Comment Kathryn Huber, East Petersburg, Pennsylvania

Last Reviewed or Updated: Dec. 18, 2025

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