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
April 6, 2004	Public Comment	Hawley H. MacLean, Reno, NV
April 6, 2004	Public Comment	Karl Smrekar, Allegheny Investments/Allegheny Financial Group, Pittsburgh, PA
April 5, 2004	Public Comment	Marshall E. Blume, Howard Butcher Professor of Financial Management, The Wharton School, University of Pennsylvania, Philadelphia, PA
March 31, 2004	Public Comment	Robert W. Haugan, Esquire, Laguna Hills, California
March 30, 2004	Public Comment	Scott T. Hanson, CFP, Senior Advisor, Hanson McClain, Inc., Sacramento, California
March 29, 2004	Public Comment	Kent A. Meredith, San Ramon, California
March 28, 2004	Public Comment	Debbie Hunt-Scribner
March 26, 2004	Public Comment	James A. Matzger, Owner - Plan Tech Financial, Los Gatos, California
March 24, 2004	Public Comment	Lawrence R. Sherman, CFP, Sherman, Werst Company, Inc., Lancaster, Pennsylvania
March 20, 2004	Public Comment	Doug Head
March 18, 2004	Public Comment	Pamela S. Lanyon, Bridgeport, Connecticut
March 18, 2004	Public Comment	Scott Garnett, Account Vice President, UBS, Richmond, Virginia
March 17, 2004	Public Comment	Christina Angell
March 17, 2004	Public Comment	Joe Collins
March 17, 2004	Public Comment	Scott A. Garnett, CFP, Richmond, Virginia
March 15, 2004	Public Comment	Mitchell M. Merin, President and Chief Operating Officer Investment Management, of Morgan Stanley
March 15, 2004	Public Comment	Robert H. FitzSimmons, CFP
March 13, 2004	Public Comment	Thomas C. Paron, RFC, CFC, of Compass Capital Management
March 9, 2004	Public Comment	Charles B. Milliken, CFP, Registered Principal, Mutual Service Corporation, Farmington Hills, Michigan
March 8, 2004	Public Comment	Chris J. DiVito, CLU, CHFC, Mutual Service Corp, Westlake, Ohio
March 8, 2004	Public Comment	Donna M. Wolf, CFP, Mequon, Wisconsin
March 7, 2004	Public Comment	Anthony Luzzi, Sterling, Massachusetts
March 5, 2004	Public Comment	Albert T. Gerra, Bethlehem, Pennsylvania
March 5, 2004	Public Comment	Darron R. Bergstrom, Mutual Service Corporation, Corpus Christi, Texas
March 5, 2004	Public Comment	Doctor Amazing
March 5, 2004	Public Comment	Gregory P. Fasig, Investment Officer, Reliance Financial Services, N.A., Defiance, Ohio
March 5, 2004	Public Comment	Kevin B. McGrath, Southborough, Massachusetts
March 5, 2004	Public Comment	Randy Nicholls, Registered Principal, Mutual Service Corporation, Auburn, Washington
March 4, 2004	Public Comment	Brodie Landry, Certified Fund Specialist, Lafayette, Louisiana
March 4, 2004	Public Comment	Lloyd D. Lowe, Sr., Frisco, Texas

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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