Comments on Proposed Rule: Mandatory Redemption Fees for Redeemable Fund Securities

Comments have been received from individuals and entities using a variety of Letter Types:

Comment
A: 74
B: 4
C: 5
D: 40

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Date Received
Date Letter Type Commenter Name
Public Comment Elizabeth R. Krentzman, General Counsel, Investment Company Institute
Meeting with SEC Officials Memorandum from the Division of Investment Management regarding an August 17, 2005 teleconference with representatives from the Investment Company Institute
Meeting with SEC Officials Memorandum from the Division of Investment Management regarding an June 16, 2005 meeting with representatives from the Investment Company Institute
Public Comment Sarah A. Miller, Director; Center for Securities, Trust and Investments; American Bankers Association
Public Comment Heidi Stam, Principal, Securities Regulation, Vanguard
Public Comment L. Burton Keller, CPA, Senior Vice President, Delta Data Software, Inc.
Public Comment Forrest Foss, Associate Legal Counsel; Henry H. Hopkins, Chief Legal Counsel, Laura Chasney, Associate Legal Counsel, T. Rowe Price Associates, Inc.
Public Comment Geoffrey Keenan, Vice President, The Gateway Trust
Public Comment Maureen Linekin, Human Resources, Horton Lantz & Low
Public Comment Lee M. Kliebert, JD, CPC, QPA, Managing Partner, PensionTrend Investment Advisers, LLC, Inc.
Public Comment Richard M. Whiting, Executive Director and General Counsel, The Financial Services Roundtable
Public Comment C.K. Lawson, President, Armstrong Associates, Inc.
Public Comment James F. Laird, President, Diamond Hill Funds
Public Comment Thomas O. Putnam, Chairman, Fenimore Asset Management Trust
Public Comment Judy R. Bartlett, Esq., Assistant General Counsel, New York Life Insurance and Annuity Corporation, Sleepy Hollow, New York
Public Comment Phylis M. Esposito, Ameritrade Holding Corporation, Omaha, Nebraska
Public Comment Barbara A Stettner, Esq, OMelveny & Myers, LLP, Washington, District of Columbia
Additional Files:
Public Comment Barry S Augenbraun, Senior VP, Raymond James Financial, St. Petersburg, Florida
Public Comment Brian H. Graff, Esquire, ASPPA Executive Director/CEO, Arlington, Virginia
Public Comment Charles H. Miller, Executive Vice President, Access Data Corp.
Public Comment D. Stuart Bowers, Chairman, SIA Operations Committee, and Martin G. Byrne, Chairman, SIA Investment Company Committee, Securities Industry Association
Public Comment David L. Wray, President, Benefits, Profit Sharing/401(k) Council; and Randel Johnson, Vice President - Labor, Immigration, & Employee, Unite States Chamber of Commerce
Public Comment Elizabeth Krentzman, General Counsel, Investment Company Institute
Public Comment Fred Reish, Esq., Reish Luftman Reicher & Cohen, Los Angeles, California
Public Comment Holli Lofgren, Accredited Investment Fiduciary, Horizon Asset Management, LLC
Public Comment James W. Olsen, Olsen & Guidry, LLC, Investment Advisors
Public Comment Jan M. Jacobson, Director, Retirement Policy, American Benefits Council
Public Comment Jerry C. Wagner, Esquire, Bloomfield Hills, Michigan
Public Comment John S. Lyons, President, J Lyons Fund Management, Inc.
Public Comment Kevin McMullen, Esquire, College Savings Foundation - Chair, Government Relations Committee, Washington, District of Columbia

Last Reviewed or Updated: Dec. 18, 2025

File Number
S7-11-04
Release Number
IC-26375A
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