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 Louis L. Rubalcava
Public Comment Sonja Brown
Public Comment Alfred Chenot, owner, Greenbush Tape & Label, Inc., Albany, New York
Public Comment Abel E. Rodriguez, Los Angeles, California
Public Comment Brian M. Swiderski, Pottstown, Pennsylvania
Public Comment Daniel M. Prescott, St. Louis, Missouri
Public Comment David H. McIntosh, Egg Harbor Twp., New Jersey
Public Comment Joel N. Williams, Silver Spring, Maryland
Public Comment Karen S. Morgan, Rocklin, California
Meeting with SEC Officials Memorandum from Mark H. Berman, counsel to Commissioner Cynthia A. Glassman, regarding a February 26,2004, meeting with the Commissioner, counsel Mary S. Head, and representatives of UBS Securities LLC and UBS Warburg LLC
Public Comment Robert T. Alpha, Sr., Cumming, Georgia
Public Comment Ronald Ruiz, New Orleans, Louisiana
Public Comment Arthur J. Bindman
Public Comment Beverly J. Spiejek, Traverse City, Michigan
Public Comment Bryan Ashley
Public Comment Cynthia Granger
Public Comment Dennis N. Heffernan, San Diego, California
Public Comment Diana Lindley
Public Comment Douglas C. Crane
Public Comment Edward J. Reynolds, Jr., Tulsa, Oklahoma
Public Comment Edward Q. Martin
Public Comment Germain Miller
Public Comment James D. Kukuk, Janesville, Wisconsin
Public Comment John A. Falasca, Corpus Christi, Texas
Public Comment John C. Hall
Public Comment Karen S. Morgan, Loomis, California
Public Comment Martha Margowsky, Los Angeles, California
Public Comment Myrgie Cummings, Austin, Texas
Public Comment Nicholas J. Zito
Public Comment Wendy L. Schmid Tetrault

Last Reviewed or Updated: Dec. 18, 2025

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