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 G. Ted Coene, FIC, LUTCF, Financial Associate, Redondo Beach, CA
Public Comment Jack L. Vandy Bogurt, Marshall, MI
Public Comment Joe Kallemeyn
Public Comment John Jay John, Faith Financial Planners, Inc., Forest Hill, MD
Public Comment John Tuttle, Northwestern Mutual Financial Network
Public Comment Kenneth T. Podell, Registered Representative, MML Investment Services, Inc.
Public Comment Mark Sorlie, CFP, CLU, ChFC, Northwestern Mutual Financial Network, Billings MT
Public Comment Michael P. Austin, CFP
Public Comment Mobeen Shirazi, Columbus, Ohio
Public Comment Nicholas A. Filing
Public Comment Penny K. Righthand
Public Comment Randall Gene Knowles, Chartered Financial Consultant, Certified Financial Planner(tm), LUTC Fellow
Public Comment Richard Strelec, Financial Advisor, Raymond James Financial Services, Inc (Member NASD/SIPC)
Public Comment Robert Lannan, CLU, ChFC, North Star Resource Group
Public Comment Robin T. Naylor, Investment Advisor Representative, Pacific West Financial Consultants, Inc., Covington, WA
Public Comment Stephen L. Day, CLU, ChFC, MetLife Financial Services
Public Comment Terry C. Fay, Altamonte Springs, Florida
Public Comment Tim Cardwell
Public Comment Tony Mattar, Mattar Financial
Public Comment Charles C. Jones CLU/ChFC, AEP
Public Comment David S. Spellman, President, Pratt Financial Group, Inc.
Public Comment Genovese, Forman & Burford
Public Comment Richard G. Steinbrueck, F.I.C., CFP®, Financial Associate #190-04842, Florida License A253450 Also licensed in Wisconsin, Minnesota, Missouri, New York and Tennessee, Thrivent Investment Management, Inc.
Public Comment Scott H. Zoellner, Registered Representative, Foster Klima & Company, LLC
Public Comment Steve Van Scoik, Registered Representative, Holmes Insurance
Public Comment William E. Myers, Teutopolis, Illinois
Public Comment Lori Walsh, Financial Economist, Office of Economic Analysis, U.S. Securities and Exchange Commission
Public Comment Donald Steinmann, Investment Advisor, Woodland Hills, California
Public Comment Ryan Wilson, CPA, CFP, Scranton, Pennsylvania
Public Comment Neal A. Thomas, NAIFA SFSP CLU ChFC, Lincoln, Nebraska

Last Reviewed or Updated: Dec. 18, 2025

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