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 Ronald J. Abdow, Independent Director for Mass Mutual's Family of Mutual Funds and a Director of Oppenhiemer Board IV
Public Comment Charles Bremer, CFP MCRS, President, of Financial Directors
Public Comment Daniel T. Griner, Registered Representative, Mutual Service Corporation, Bellevue, Washington
Public Comment David Warner, CFA
Public Comment Denise A. Izatt, Oak Brook, Illinois
Public Comment James P. Ruth, CFP, Member, Financial Planning Association, Gaithersburg, Maryland
Public Comment John P. Andrew, CRS, Plymouth, Minnesota
Public Comment Kevin Bankerd, Owner, Bankerd Financial Services, Tomball, Texas
Public Comment Marianne Wisner, Westlake, Ohio
Public Comment Mark R. Sprouse, Redlands, California
Public Comment Patrick M. Stenson, Plymouth, Minnesota
Public Comment Reed Moore, Registered Representative, Registered Principal, Federal Way , Washington
Public Comment William M. Hay, Registered Representative, Polar Investment Counsel, Inc., New Richmond, Wisconsin
Public Comment Alan W. Takahashi, Sun Valley, California
Public Comment David Howe, Flagstaff, Arizona
Public Comment David J. Romagosa, CFP, MSFS, Adjunct Faculty, University of Louisiana at Lafayette and CFP, Lafayette, Louisiana
Public Comment Joseph P. Trybula, CFP, Town Country, Missouri
Public Comment Joseph T. Mann, CEO, MBA Financial Advisors, Atlanta, Georgia
Public Comment Marvin L. Mann, Chairman of the Independent Trustees, The Fidelity Funds
Public Comment Reed H. Moore, registered Representative, Registered Principal, Federal Way , Washington
Public Comment Steven G. Van Scoik, CIC, Elkhart, Indiana
Public Comment Thomas C. Paron
Public Comment Bart L. McGonnigal, Loudonville , New York
Public Comment Brett A. Young, Olivet, Michigan
Public Comment Craig A. Johnson, Plymouth, Minnesota
Public Comment David J. McBride, CPA, CFP, Mesa, Arizona
Public Comment David R. Butts, CFP, CMFC, Saginaw, Michigan
Public Comment David W. Boyer, Puyallup, Washington
Public Comment Dawn Hollerith, Healdsburg, California
Public Comment Eric B. Landers, Registered Representative, Romeo, Michigan

Last Reviewed or Updated: Dec. 18, 2025

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