Comments on Proposed Rule: Prohibition on the Use of Brokerage Commissions to Finance Distribution

Comments have been received from individuals and entities using a variety of Letter Types:


Comment
A: 925
B: 782
C: 6
D: 10
E: 5

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Date Sort descending	Letter Type	Commenter Name
Aug. 25, 2004	Public Comment	Robert DeFazio, Buena Park, California
Aug. 9, 2004	Public Comment	James W. Vitalone, CFA, Chair, U.S. Advocacy Committee; and Linda L. Rittenhouse, CFA Institute Advocacy, CFA Institute
July 22, 2004	Public Comment	Anonymous reviewer
July 6, 2004	Public Comment	James M. Poindexter
June 28, 2004	Public Comment	Lynn Ezerski, Certified Financial Planner R, Naperville, Illinois
June 22, 2004	Public Comment	Thomas Edwards
June 18, 2004	Public Comment	Edwin L. Katz, Principal and Stanley J. Katz, Principal, First Alliance Asset Management, Inc.
June 16, 2004	Public Comment	M. Sue Larkin, CFP, Regional Director, Financial Network Investment Corp, Sun City, Arizona
June 13, 2004	Public Comment	Allen R Slominski, Financial Advisor, Fidelity Financial Group
June 10, 2004	Public Comment	Dale C. Sprout, Plymouth, Minnesota
June 10, 2004	Public Comment	John H. Robinson
June 9, 2004	Public Comment	Donald C. Pratt, Registered Principal and Investment Advisor Affiliate, Wethersfield, Connecticut
June 9, 2004	Public Comment	Eva G. Patry, FPA Financial Planning Association, Sun City, Arizona
June 9, 2004	Public Comment	Keith A. Raia, Registered Representative FNIC , Albuquerque, New Mexico
June 9, 2004	Public Comment	Marvin S. Goldman, Goldman Group Inc.
June 6, 2004	Public Comment	Charles B. Murdock, M.D., Trustee, Spartanburg Nephrology Associates Profit Sharing Plan, Spartanburg, South Carolina
June 1, 2004	Public Comment	Charles Haas
June 1, 2004	Public Comment	Peter R. Kemmerer, Mesa Verde, Inc.
May 28, 2004	Public Comment	Jeffrey M. Garell, CFP, CLU, Registered Principal, Associated Securities Corporation
May 27, 2004	Public Comment	Lynn C. Appelman CFP, ChFC, CFS
May 26, 2004	Public Comment	Harry Summers
May 24, 2004	Public Comment	Matthew P. Fink, President, Investment Company Institute
May 23, 2004	Public Comment	Eric E. Haas, Chief Investment Officer, Altruist Financial Advisors LLC, Holland, Michigan
May 22, 2004	Public Comment	David O. Spinar, Vice President and Chief Compliance Officer, Securities America, Inc.
May 21, 2004	Public Comment	Dechert LLP
May 19, 2004	Public Comment	Dabney Ajemc forwarded by Senator John Cornyn
May 17, 2004	Public Comment	Paul N. Carron, Two Rivers, Wisconsin
May 17, 2004	Public Comment	Stan T. Carmichael, Carmichael Associates
May 14, 2004	Public Comment	Dixie L. Johnson, Chair, Committee on Federal Regulation of Securities, Section of Business Law, American Bar Association
May 14, 2004	Public Comment	Greg Stewart, ChFC, REBC

Last Reviewed or Updated: Dec. 18, 2025

File Number

S7-09-04

Release Number

IC-26356

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Comments on Proposed Rule: Prohibition on the Use of Brokerage Commissions to Finance Distribution

Comments have been received from individuals and entities using a variety of Letter Types:

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Comments on Proposed Rule: Prohibition on the Use of Brokerage Commissions to Finance Distribution

Comments have been received from individuals and entities using a variety of Letter Types:

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