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 Lynn M. Vance, CFP
Public Comment Marilyn S. Steinmetz, CFP, West Hartford, Connecticut
Public Comment Mark Smith, Registered Principal and Associate Advisor, Quest Securities - NASD Member, Newport Beach, California
Public Comment Marvin R. Souchek, Society of Financial Service Professionals, Member; Certified Employee Benefits Specialist, Lincoln, Nebraska
Public Comment Mary B. Robinson , Vancouver, Washington
Public Comment Michael J. Carpenter, Athens, Ohio
Public Comment Michael J. Durkin, CFP, Cincinnati, Ohio
Public Comment Michael T. Shuttlesworth, Tuscaloosa, Alabama
Public Comment Nathan M. Kosman, Cincinnati, Ohio
Public Comment Richard Von Luft, Registered Securities Principal, La Habra, California
Public Comment Richard W. Budman, CLU, ChFC, Allentown, Pennsylvania
Public Comment Robert A. Catton, CFP, member, Financial Planning Association, Federal Way, Washington
Public Comment Robert M. Wood, Chartered Financial Consultant with American College, Lutz, Florida
Public Comment Ronald A. Guiler, President, Executax Corp and Executax Financial, Miami, Florida
Public Comment Ronald J. Bickford, CFP, Minneaoplis, Minnesota
Public Comment Stephen E. Silver
Public Comment Stephen F. Anderson, CLU, ChFC, CFP, Waterstone Financial Group, Itasca, Illinois
Public Comment Tim R. Guthrie, CFP, Bullseye Investment Strategies, Russellville, Ohio
Public Comment William Cone
Public Comment Anonymous reviewer
Public Comment Edward M. Kallal, West Monroe, Louisiana
Public Comment Eileen F. Aragon, BS, NIAC Investment Club, Reno, Nevada
Public Comment Francis X. Daniti, Manahawkin, New Jersey
Public Comment Jeanne M. Seymour, Derby, Kansas
Public Comment Norman Umberger, P.E., genius-at-large, The Common Sense Investor, Inc., LexiPark, Maryland
Public Comment Susan Woodward, Sand Hill Econometrics
Public Comment Alain Nicolas, Roanoke, Virginia
Public Comment Catherine Cane
Public Comment Ivy Butler, Jr.
Public Comment Joseph J. Polak, retired, Wappingers Falls, New York

Last Reviewed or Updated: Dec. 18, 2025

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