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 David O'Block, CFP, RFC, The Equity Advisor Group, Inc
Public Comment David R. Butts, CFP, CMFC, Past Chair N.E. Michigan IAFP, Saginaw, Michigan
Public Comment Donald F. White, President, Treasure Coast Financial Services, Inc.
Public Comment Donna M. Wolf, CFP, Wolf Investment Services, Inc.
Public Comment Edward C. Skelly, ChFC, Series 7 Registered Rep Numerous Industry Affiliations, Sterling, Virginia
Public Comment Eric J. Connors
Public Comment Glen J. Lutz, Registered Principal and Licensed Tax Consultant, Eugene, Oregon
Public Comment James Rowe
Public Comment James W. Rau
Public Comment Jane Bragg, CFP, Fresno, California
Public Comment John S. Ruzza, CFP
Public Comment Kathleen Browning Ceicys, MBA, President, Wilson Browning Financial Services, Cleveland , Ohio
Public Comment Kevin J. Moree, CFP
Public Comment L. Thomas Robertson, CFP, DeLand, Florida
Public Comment Louis V. Santoro
Public Comment Martha Seidl, CFP, Mutual Service Corporation
Public Comment Marvin R. Souchek
Public Comment Michael J. Durkin , CFP, CFS, Cincinnati, Ohio
Public Comment Mike Woods, LUTCF, CFS, Carl H. Stocker & Associates
Public Comment Paul R. Hoffman, Registered Representative / Registered Principle, Appleton, Wisconsin
Public Comment Raymond P. Bradley, Registered Representative, Mutual Service Corp., ChFC, CLU, Ephrata, Puerto Rico
Public Comment Richard S. Whelpley, Groton, Massachusetts
Public Comment Richard W. Budman, CLU, ChFC
Public Comment Robert Karp, CFP, SunAmerica Securities, Inc.
Public Comment Robert O. Troxell, Registered Representative of Mutual Service Corporation, Hanover, Pennsylvania
Public Comment Scott E. Bordelon, CFP@, AAMS, Financial & Investment Management Advisors, Inc.
Public Comment Steve Maddox, SunAmerica Securities
Public Comment Susan Sommer, CFS, CFP, Sommer Investments, L.L.C.
Public Comment Thomas W. Pringle, Mutual Service Associates
Public Comment Adam J. Makkai, Registered Representative, Mutual Service Corporation and Finance Professor, Regis University, Greenwood Village, Colorado

Last Reviewed or Updated: Dec. 18, 2025

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