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 Stephen L. Cole, Goodlettsville, Tennessee
Public Comment Steve Botnovcan, 401k account holder and taxpayer, Flemington, New Jersey
Public Comment Steven G. Johnston, American Association of Nurse Anesthetists, San Angelo, Texas
Public Comment T. Klippstein
Public Comment Tom Slaten, Lake Oswego, Oregon
Public Comment Virgil N. Taylor, Akron, Ohio
Public Comment William J. Botella, Drexel Hill, Pennsylvania
Public Comment Wilmer Richards
Public Comment Benjamin E. Hayes, Waverly, West Virginia
Public Comment James M. Wilbur, Jr., Emeritus Professor Of Chemistry, Southwest Missouri State University, Springfield, Missouri
Public Comment Eugene L. Senter, Dayton, Ohio
Public Comment Richard Fenner, member, AAII, New York City Chapter, Kew Gardens, New York
Public Comment Richard Meyer, Harrisburg, North Carolina
Public Comment William Jessica Wandt, Florida Realtors Association, Miami Beach, Florida
Public Comment Bettye J. Banks, Senior Vice President for Education, CCCS-Dallas, Dallas, Texas
Public Comment Charles E. Fuller, III, President, REMTECH, Inc, software to teach personal financial literacy to students and adults, Huntsville, Alabama
Public Comment Dale E. Brown, CAE, Executive Director & CEO, Financial Services Institute
Public Comment Dale E. Brown, CAE, Executive Director & CEO, Financial Services Institute
Public Comment Grenell Rogers, extension educator, Starkville, Mississippi
Public Comment James T. Reeves, CFP, MBA, EA, Reg. Prin s24, RPV, California
Public Comment Kenneth A. Doxtad, retired, San Antonio, Texas
Public Comment Richard F. Kuettel, Roseville, Minnesota
Public Comment William R. Reed, Seattle, Washington
Public Comment Ed Jablonski
Public Comment Kathleen Shay, Livermore, California
Public Comment Pamela Bateman, Lafayette, California
Public Comment Philip L. Newton, Arlington, Virginia
Public Comment Don Schlecht, Rockport, Texas
Public Comment Francis Valenza, Abington, Pennsylvania
Public Comment Jeffrey Richer, DPM, Bala Cynwyd, Pennsylvania

Last Reviewed or Updated: Dec. 18, 2025

File Number
S7-06-04
Release Number
33-8358
34-49148
IC-26341
How to submit comments