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
May 10, 2004	Public Comment	Ronald C. Long, Senior Vice President, Regulatory Policy and Administration, Wachovia Securities, LLC
May 10, 2004	Public Comment	Ronald J. Bickford, CFP
May 10, 2004	Public Comment	Ronald Roeser
May 10, 2004	Public Comment	Stephen A. Keen, General Counsel, Federated Investors, Inc.
May 10, 2004	Public Comment	William J. Rittling, First Vice President, Merrill Lynch, Pierce, Fenner & Smith Incorporated
May 9, 2004	Public Comment	Michael J. Meiners, CFP, JD*, Investment Advisor Representative, Financial Plans & Strategies, Inc.
May 9, 2004	Public Comment	Tim Barnette
May 8, 2004	Public Comment	Anthony R. Luzzi, Mutual Service Corp.
May 7, 2004	Public Comment	Adam Gellis, Davis Wealth Enhancement Group
May 7, 2004	Public Comment	Cathy Sommers, Intregrated Financial Strategies
May 7, 2004	Public Comment	Gary A. Sanders, Senior Counsel - Law and Government Relations, National Association of Insurance and Financial Advisors
May 7, 2004	Public Comment	Gary D. Richmond, Sr.
May 7, 2004	Public Comment	Grant L. Simon
May 7, 2004	Public Comment	Jim Hayett, OSJ Sentra Securities
May 7, 2004	Public Comment	Joan M. Halstead
May 7, 2004	Public Comment	Kevin B. McGrath, Southborough, Massachusetts
May 7, 2004	Public Comment	Kevin Rossdeutscher
May 7, 2004	Public Comment	Litchfield, Nelson & Co - Naples, Florida
May 7, 2004	Public Comment	Lyn Quarantello, CFP
May 7, 2004	Public Comment	Lynn M. Vance
May 7, 2004	Public Comment	Michael Fay
May 7, 2004	Public Comment	Rick A. Sany, CFS, Portland, Oregon
May 7, 2004	Public Comment	Rita C. DeFloreo, Principal Compliance Manager/CCO, Paradigm Equities, Inc., East Lansing , Michigan
May 7, 2004	Public Comment	Rita C. DeFloreo, Principal Compliance Manager/CCO, Paradigm Equities, Inc., East Lansing, Michigan
May 7, 2004	Public Comment	Roger M. Kalar C.F.P., Broker and Registered Representative, Mutal Service Associates
May 7, 2004	Public Comment	Thomas W. Pringle, Registered Principal, Mutual Service Corporation, Avon, Connecticut
May 7, 2004	Public Comment	William R. Hoffman
May 6, 2004	Public Comment	Arthur F Grant, President, Cadaret Grant
May 6, 2004	Public Comment	August DiVito
May 6, 2004	Public Comment	Carl H. Stocker

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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