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 Sterling F. Chappell, III, Compliance Officer, Amvest Securities, Inc, Columbus, Ohio
Public Comment Steve Lee, President of Employer Concepts, Irvine, California
Public Comment Steven Sora, Branch Manager, LPL Financial Services
Public Comment Terry Mann, Decatur, Georgia
Public Comment Thomas P. Lemke, Senior Vice President and General Counsel, Legg Mason Wood Walker, Incorporated
Public Comment Timothy D. Gaarder, CFP, Edina, Minnesota
Public Comment Timothy J. Lyle, Senior Vice President and CCO, Mutual Service Corporation
Public Comment Timothy W. Leveroni, CFP, Braintree, Massachusetts
Public Comment W. Thomas Comer and Eric A. Arnold, Sutherland Asbill & Brennan LLP for the Committee of Annuity Insurers
Public Comment Weiler W. Weiler, CFP, FPA, FSI, MDRT, Stuart, Florida
Public Comment William A. Bridy, First Vice President, Merrill Lynch
Public Comment William F. Thick, CFP,LIC, CEO, Total Planning Service, Marshall, Michigan
Public Comment William J. Winter, Senior Vice President, Cashiers Department, A.G. Edwards & Sons, Inc.
Public Comment Clark K. Nisbett,CLU, LPL Financial Consultant
Public Comment Dan W. Harris, Columbia, Maryland
Public Comment Gary J. Tribble, Bellevue, Washington
Public Comment John Bruso, CFP, Phoenix, Arizona
Public Comment John S. Beall, ChFC, CLU, LUTCF, LIC, Berrien Springs, Michigan
Public Comment Kevin S. Dodge, Clio, Michigan
Public Comment Mark D. Stenberg, Registered Principal, Mutual Service Corporation, Brownstown, Michigan
Public Comment Matthew B. Bishop, Jacksonville, Florida
Public Comment Michael R. McKillip, CFP, Wauwatosa, Wisconsin
Public Comment Michael S. Link, Registered Representative with Mutual Service Corporation, Woodland Hills, California
Public Comment Ronald A. Guiler, CEO Executax Corp. & Executax Financial Corp., Miami, Florida
Public Comment Sandra T. Masek Ray, CRCP, Exec Vice President/Chief Compliance Officer - Rhodes Securities, Inc., Fort Worth, Texas
Public Comment Virginia Harmon, Seattle, Washington
Public Comment William J. Romeo, Coconut Creek, Florida
Public Comment Willie J. Price, Arden Hills, Minnesota
Public Comment Allen R. Lakner, Exline, Iowa
Public Comment Charles B. Milliken, CFP, Farmington Hills, Michigan

Last Reviewed or Updated: Dec. 18, 2025

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