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 Charles G. Simon, C.L.U., Covington, Louisiana
Public Comment David L. Lee, BSME MBA CFP, Appleton, Wisconsin
Public Comment Dean J. Ripley
Public Comment Douglas J. Schuetter, Indianapolis, Indiana
Public Comment Eric Botwinik, Boca Raton, Florida
Public Comment Frank A. Monte, CLU, Fairport, New York
Public Comment Gary D. Richmond, Sr., Clarkston, Michigan
Public Comment Glen Lutz, CFP r, Eugene, Oregon
Public Comment Gregory T. Bond
Public Comment H. Parker Sharpe, Manitowish Waters, Wisconsin
Public Comment Jed Bandes
Public Comment Jeremy Monte, JD, Fairport, New York
Public Comment Jim Franceus, CFP, Lake Oswego
Public Comment John D. Fuller, Atlanta, Georgia
Public Comment John J. Moynihan, St. Louis, Missouri
Public Comment Maria C. Wagner, Boca Raton, Florida
Public Comment Nancy D. Breymeier, St. Paul, Minnesota
Public Comment Peter D. Fischel, CLU, Fremont, California
Public Comment Richard P. Glemann, CPA, RR, RIAR, MS Taxation, Jacksonville Beach, Florida
Public Comment Roark Young, President, Young, Stovall and Company, Miami, Florida
Public Comment Ryan M. Luke
Public Comment Sherri L. Davis, Esquire, Pittsburgh, Pennsylvania
Public Comment Terrence M. O'Rourke, CLU, CEO Certified Financial Consultants Ltd, St Clair Shores, Michigan
Public Comment Yvonne Rundell, Troy, Michigan
Public Comment Adam Gellis, Palm Beach Gardens, Florida
Public Comment Adam J. Makkai, MBA, Registered rep, MSC and Finance Professor, Regis University, Greenwood Village, Colorado
Public Comment Alan W. Takahashi, Sun Valley, California
Public Comment Albert L. Lock, Jr., CLU, ChFC, MSFS, CEO, Universal Financial Group, Inc., Registered Principal, Mutual Service Corp., St. Louis, Missouri
Public Comment Amy S. Traxler, registered representative, Elkhart, Indiana
Public Comment Anna-Marie Smith, CFP, Registered Repesentative, Mutual Service Corporation, Bedford, New Hampshire

Last Reviewed or Updated: Dec. 18, 2025

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