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 5, 2004	Public Comment	Carl Henderson, Registered Representative, MK Financial Group, Inc.
May 5, 2004	Public Comment	Charles L. Stanley, Jr, California registered Investment Advisor, Escondido, California
May 5, 2004	Public Comment	Chris DiVito
May 5, 2004	Public Comment	Dan Jamieson
May 5, 2004	Public Comment	Dennis P. Joppe, CFP, CFS Registered Representative, Registered Principal
May 5, 2004	Public Comment	Gary Frank
May 5, 2004	Public Comment	Gary J. Gulemi
May 5, 2004	Public Comment	Gassan Kassira
May 5, 2004	Public Comment	Gerald W. Parent, CLU, ChFC, CLTC, Mutual Service Corporation Branch Office, Assonet, MA
May 5, 2004	Public Comment	Greg LaPierre, Financial Planner, Portsmouth, New Hampshire
May 5, 2004	Public Comment	James W. Noel
May 5, 2004	Public Comment	Jim Franceus, CFP, Senior Financial Advisor, Summit Financial Advisors, Inc.
May 5, 2004	Public Comment	John H. Berry, President, JHB Financial Associates
May 5, 2004	Public Comment	John Lotshaw
May 5, 2004	Public Comment	John R. Bauer, Mutual Service Corporation
May 5, 2004	Public Comment	John Scott Harvey
May 5, 2004	Public Comment	Julie A. Gaittens, CFP
May 5, 2004	Public Comment	Kelly L. Higgins, Financial Advisor, Retirement Specialist, Center for Financial Management One, L.L.C.
May 5, 2004	Public Comment	Louis W. Meyer, V, Boardroom Advisory Group, Cincinnati, Ohio
May 5, 2004	Public Comment	Mark C. Royal, CLU, CFP
May 5, 2004	Public Comment	Mark R. Richter, RIA Assoc. Mutual Service Corp, Federal Way, Washington
May 5, 2004	Public Comment	Michael P. Kratzer, CLU, LUTCF, Registered Representative, MK Financial Group, Inc.
May 5, 2004	Public Comment	Paul Byma
May 5, 2004	Public Comment	Paul Matson, SunAmerica Securities, Lexington, Nebraska
May 5, 2004	Public Comment	Reed H. Moore, Registered Representative
May 5, 2004	Public Comment	Rick Settles
May 5, 2004	Public Comment	Sandra M. Pazanin, CFP, Registered Principal
May 5, 2004	Public Comment	Sean Frederick Milner, John Hancock Financial Services
May 5, 2004	Public Comment	Skip Raymond, Raymond Wesley
May 5, 2004	Public Comment	Steven A. Snapp, Hutchinson, Minnesota

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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