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 Michael G. Martin LUTCF FIC
Public Comment Michael J. Sharp, General Counsel, Smith Barney on behalf of Citigroup Global Markets Inc.
Public Comment Michael J. Ward, Certified Financial Planner, Registered Principal, Linsco/Private Ledger
Public Comment Michael P. DeGeorge, General Counsel, National Association for Variable Annuities
Public Comment Michael S. Gilman, CFO, Financial MAnagement Strategies, Plantation, Florida
Public Comment Neil A. Simon, Esq., Director of Government Relations, Financial Planning Association
Public Comment Pamela L. Buffington, Securities Rep since 1976, Broker/Dealer Mutual Services Corp, Akron, Ohio
Public Comment Patrick Sreenan, Broker, Deerfield Beach, Florida
Public Comment Paul E. Koller, CFP, CLU, ChFC, Lakewood, Colorado
Public Comment Paul R. Hoffman, CFP, Appleton, Wisconsin
Public Comment Paul R. Kiehn, Chartered FinancialConsultant, Aledo, Texas
Public Comment Peter L. Catalano, CLU, ChFC, Beverly Hills, California
Public Comment Peter Mangan, President & CEO and Robert O. Reed, Executive Vice President, Shareholders Service Group, Inc.
Public Comment Raymond P. Bradley, Registered Representative, Chartered Financial Consultant, Ephrata, Pennsylvania
Public Comment Richard M. Arceci, JD, CPA, Executive Vice President, ValMark Securities
Public Comment Richard Stone, President NAIFA Surburban Maryland, Alexandria, Virginia
Public Comment Richard Von Luft, Registered Securities Principal, La Habra, California
Public Comment Robert A. Pierce, Jill M. Pierce, Earl R. Pierce, Spencer R. Pierce, and Dirk F. Hicks
Public Comment Robert C. Hinshon, Jr., CFP, Livonia, Michigan
Public Comment Robert D. Cornell, Scottsdale, Arizona
Public Comment Robert Renner, COO, Inverness Securities LLC, Beachwood, Ohio
Public Comment Rodert D. Schlesinger, CLU, President, Retirement & Estate Plan Services
Public Comment Rodney Brown, Mutual Service Corp., Ridgeland, Mississippi
Public Comment Roger Whitaker
Public Comment Rpbert Vigorita, CLU, ChFC, CFP, Providence, Rhode Island
Public Comment Russell E. Montgomerie, CFP, Boca Raton, Florida
Public Comment Samuel Tenney, Castle Rock, Colorado
Public Comment Sandra Pohutsky, Oakland, California
Public Comment Stephen A. Batman, CEO, 1st Global
Public Comment Stephen M. Saxon, Groom Law Group, Chartered, Washington, District of Columbia

Last Reviewed or Updated: Dec. 18, 2025

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