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	Steven M. Singer, Mutual Service Corporation
May 5, 2004	Public Comment	Thomas L. Hudson, St. Louis, Missouri
May 5, 2004	Public Comment	Valerie J. Knisley, CPA, CFP, Registered Representative, Mutual Service Corp., Middletown, Pennsylvania
May 4, 2004	Public Comment	Michael Stephens CLU, CFP, Stevens Financial & Insurance Services
May 3, 2004	Public Comment	Brian Ashe
May 3, 2004	Public Comment	Carol A. Anderson, LUTCF, CFP, Registered Representative, Financial Network Investment Corporation
May 3, 2004	Public Comment	Douglas R. Clelan, CLU, ChFC, Clelan and Company
May 3, 2004	Public Comment	John V. Hogin, Jr. CLU, CSA, Registered Investment Advisor Hogin Financial and Insurance Services, Inc.
May 3, 2004	Public Comment	Jon S. Fossel, Double F Ranch, Ennis, Montana
May 3, 2004	Public Comment	Michael H. Freedman, Michael Freedman Assoc
May 3, 2004	Public Comment	Nancy Wheeler Bertacini, Registered Representative, Financial Network Investment Corporation
May 3, 2004	Public Comment	Patrick C. Robison, CLU, ChFC
May 3, 2004	Public Comment	Terry Curnes, ChFC
April 30, 2004	Public Comment	Fred Nicol
April 30, 2004	Public Comment	Louis Passauer
April 30, 2004	Public Comment	Mel Hudson
April 30, 2004	Public Comment	Michael E. Ludwig, CLU, LUTCF, Financial Consultant, Assistant Vice President-Investment Services Group, Bangor Savings Bank, Bangor, ME
April 30, 2004	Public Comment	Nicholas H. Phelps
April 30, 2004	Public Comment	Ronald G Pray, CLU
April 29, 2004	Public Comment	Andrew J. Barnett, CLU, ChFC, President, Estate Strategies Inc.
April 29, 2004	Public Comment	Anonymous reviewer
April 29, 2004	Public Comment	Arthur Gruber, CLU
April 29, 2004	Public Comment	Bart Needles LUTCF, AXA Advisors
April 29, 2004	Public Comment	Ben Freedman, CLU
April 29, 2004	Public Comment	Brad Skiles, Woolman Financial Group, Warsaw, IN
April 29, 2004	Public Comment	Carter Marsden
April 29, 2004	Public Comment	Charles Dinklage, Financial Consultant, AXA Advisors, LLC
April 29, 2004	Public Comment	David J. Moffett, CLU, ChFC, Financial Representative, Northwestern Mutual Financial Network
April 29, 2004	Public Comment	David L. Berman, CFP, CLU, Berman McAleer, Inc.
April 29, 2004	Public Comment	F. Bonners

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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