Comments on Proposed Rule: Mutual Fund Redemption Fees

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Date Received
Date Letter Type Commenter Name
Meeting with SEC Officials Memorandum from the Office of Regulatory Policy, Division of Investment Management, regarding a July 26, 2006 meeting with representatives of the Swiss Bankers Association
Public Comment William M. Tartikoff, Calvert Group, Ltd., Bethesda, Maryland
Public Comment Steven G. Stelmachowski, Milwaukee, Wisconsin
Meeting with SEC Officials Memorandum from the Office of Regulatory Policy, Division of Investment Management, regarding a May 24, 2006 meeting with representatives of The SPARK Institute, Inc., the ING Group, T. Rowe Price, and Citistreet LLC
Public Comment Robert G. Wuelfing, President, and Larry H. Goldbrum, General Counsel, the SPARK Institute, Inc.
Public Comment David L. Wray, President, Profit Sharing/401(k) Council of America (PSCA)
Meeting with SEC Officials Memorandum from the Executive Staff regarding a April 20, 2006 meeting with representatives of NewRiver Inc. and Pickard & Djinis LLP
Public Comment Heidi Stam, General Counsel, The Vanguard Group, Inc., Valley Forge, Pennsylvania
Meeting with SEC Officials Memorandum from the Executive Staff regarding a April 12, 2006 meeting with representatives of the Investment Company Institute
Public Comment Sarah A. Miller, Director & Chief Regulatory Counsel, Center for Securities, Trust and Investments, American Bankers Association
Public Comment Della M. Labate, M.S., Ed., Teacher of American History, Phoenix, Arizona
Public Comment Mark N. Polebaum, General Counsel, MFS Investment Management, Boston, Massachusetts
Public Comment Brian H. Graff, Esq., APM, Executive Director/CEO, American Society of Pension Professionals & Actuaries (ASPPA)
Public Comment Carl B. Wilkerson, Vice President and Chief Counsel, American Council of Life Insurers
Public Comment Carol A. Jameson, Esq., Vice President and Senior Counsel, National Securities Clearing Corporation, New York, New York
Public Comment Cynthia Dash, General Counsel, MG Colorado Holdings, Inc., MSCS and MSCS Financial Services, LLC
Public Comment David J. Lekich, V.P. and Senior Corporate Counsel, Charles Schwab Co., Inc., San Francisco, California
Public Comment Deborah A. Lamb, EVP, Chief Compliance Officer, STI Classic Funds
Public Comment Elizabeth Krentzman, General Counsel, Investment Company Institute
Public Comment Henry H. Hopkins, Chief Legal Counsel, and Laura H. Chasney, Associate Legal Counsel, T. Rowe Price Associates, Inc.
Public Comment James S. Viola, Assistant Vice President and Counsel, Massachusetts Mutual Life Insurance Company
Public Comment Jan M. Jacobson, Director, Retirement Policy, American Benefits Council
Public Comment Kimberly J. Smith, Deputy General Counsel, ING Americas U.S. Legal Services
Public Comment Mark R. Thresher, President and Chief Operating Officer, Nationwide Financial Services, Inc.
Public Comment Mark S. Howard, Senior Vice President, Secretary and Counsel, USAA Investment Management Company, San Antonio, Texas
Public Comment Martin G. Byrne, Chairman, Securities Industry Association
Public Comment Michael H. Koonce, Sr. Vice President and General Counsel, Evergreen Investments, Boston, Massachusetts
Public Comment Niels Holch, Executive Director, Coalition of Mutual Fund Investors
Public Comment Robert G. Wuelfing, President, and Larry H. Goldbrum, General Counsel, SPARK Institute, Inc.
Public Comment Stephen E. Roth, Frederick R. Bellamy, and W. Thomas Conner, Sutherland Asbill & Brennan LLP

Last Reviewed or Updated: Dec. 18, 2025

File Number
S7-06-06
Release Number
IC-27255
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