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 Anneliese M. Brown, Lakewood, Colorado
Public Comment Armand C. Batocabe, West Palm Beach, Florida
Public Comment Barney W. Konowski, Wayland, Massachusetts
Public Comment Brian L. Lakner, Chartered Financial Consultant, Crystal Lake, Illinois
Public Comment Brian W. Heffernan, Salem, New Hampshire
Public Comment Bruce Severeid, CFP, Washington
Public Comment C. Robert Kelly, ChFC, MEd, Barrington, Rhode Island
Public Comment Carl Cicatello, CPA, CFP, San Antonio, Texas
Public Comment Carol A. Holesha, Registered Representative, Chicago, Illinois
Public Comment Cathey L. Williamson, Florissant, Missouri
Public Comment Charles H. Fitzpatrick, Mutual Service Corporation financial advisor, Surfside Beach, South Carolina
Public Comment Charles L. Stanley, CFP, Registered Investment Advisor - The Compassionate Capitalist, Escondido, California
Public Comment Charles S. Stoll, CFP, CPA, Principal, Boca Raton, Florida
Public Comment Chris A. Martelli, CFP, Seattle, Washington
Public Comment Christian A. Beliveau, Financial Planner, Dover, New Hampshire
Public Comment Christopher W. Collins, Gaylord, Michigan
Public Comment Clark B. Jolley, CFP, Valencia, California
Public Comment Claudia Worth, AICPA, North Andover, Massachusetts
Public Comment D. Teets, Compliance Officer, Baltimore, Maryland
Public Comment Dale C. Korpi, JD, Minneapolis, Minnesota
Public Comment Dale L. Anderson, CFP, Lakewood, Colorado
Public Comment Daniel P. Sweeney
Public Comment Daniel S. Chabott, Sr., Aif, Keene, New Hampshire
Public Comment Daniel T. Grnier, Registered Representative, Mutual Service Corporation, Bellevue, Washington
Public Comment Darron R. Bergstrom, Registered Representative, Corpus Christi, Texas
Public Comment David C. Becker, Sr., Vice President/Chief Financial Officer, Mutual Service Corporation
Public Comment David G. Brouwer, Executive Vice President, Community First Investments
Public Comment David G. Edgerton, ChFC, Registered Representative, Galena, Ohio
Public Comment David J. Romagosa, Sr., CFP, Financial Planning Association, Lafayette, Louisiana
Public Comment David L. Gabay, CFP, Harrison, New York

Last Reviewed or Updated: Dec. 18, 2025

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