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 Received
Date Letter Type Commenter Name
Public Comment John A Buetow, CLU, Registered Representative, Kalamazoo, Michigan
Public Comment Lily Chen
Public Comment Richard R. Cortright CFP, MBA
Public Comment Philip C. McMorrow
Public Comment Jarrett Lilien, President and Chief Operating Officer, E*TRADE Financial Corporation
Meeting with SEC Officials Memorandum from Jennifer B. McHugh, Senior Advisor to the Director, Division of Investment Management, regarding a May 6, 2004 meeting with representatives from the Investment Company Institute and it's Board of Governors
Public Comment Richard M. Whiting, Executive Director and General Counsel, Financial Services Roundtable
Public Comment Amy B.R. Lancellotta, Acting General Counsel, Investment Company Institute
Public Comment Barbara Roper, Director of Investor Protection, Consumer Federation of America, Mercer Bullard, Founder and President, Fund Democracy, Inc., Sally Greenberg, Senior Counsel, Consumers Union, Kenneth McEldowney, Executive Director, Consumer Action
Public Comment Barry S. Augenbraun, Senior Vice President, Raymond James Financial, Inc, St. Petersburg, Florida
Public Comment Bridget B. Hughes, CFA, Senior Fund Analyst, Morningstar, Inc.
Public Comment Dale E. Brown, CAE, Executive Director & CEO, Financial Services Institute
Public Comment David 0. Spinar, Vice President and Chief Compliance Officer
Public Comment David Byrnes, Aledo, Texas
Public Comment Fred Sanchez
Public Comment James E. Easton, Registered Representative, Mutual Service Corporation
Public Comment James P. Ryan, Capital Research and Management Company
Public Comment Jeffrey M. Auld, President, NEXT Financial Group
Public Comment Jeffrey M. Auld, President, NEXT Financial Group
Public Comment Jim McGuinness
Public Comment Leigh Nickel, CLU, ChFC, Registered Representative of Mutual Service Corporation, Plantation, Florida
Public Comment Marvin L. Mann, Chairman of the Independent Trustees, The Fidelity Funds
Public Comment Michael D. Udoff, Vice President, Associate General Counsel and Secretary, Securities Industry Association
Public Comment Mike Scafati, Senior Vice President, A.G. Edwards & Sons, Inc.
Public Comment Neil A. Simon, Esq., FPA Director of Government Relations, Financial Planning Association
Public Comment Ralph A. Lambiase, NASAA President and Director, Connecticut Division of Securities, North American Securities Administrators Association
Public Comment Raymond A. Mason, Chief Executive Officer, Legg Mason, Inc.
Public Comment Rich Hanford
Public Comment Robert C. Pozen, Chairman, MFS Investment Management
Public Comment Roger Ochs, President, H.D. Vest Financial Services

Last Reviewed or Updated: Dec. 18, 2025

File Number
S7-09-04
Release Number
IC-26356
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