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 Tom Mueller, Chief Accountant, Sanitation Districts of Los Angeles County
Public Comment Will Hepburn, CFP, The Prescott Center for Adaptive Market Strategies
Public Comment Anne G. Beaurivage, General Counsel, Learjet Inc.
Public Comment Dana Mattiza, Employee Benefits Manager, Aker Kvaerner Human Resources
Public Comment Fred Hay, Retirement Plan Committee Member, Retirement Plan Committee of Austin Diagnostic Clinic
Public Comment Judy Aboussie, Clinic Manger, Austin Radiological Association
Public Comment Kregg Conder, Vice President - Finance and Treasurer, Warren Equipment Company
Public Comment Kwame Kwakye
Public Comment Michael Klein
Public Comment Richard Parliman, Director, Human Resource & Employee Relations
Public Comment Rick Holbrook
Public Comment Ronnie S. Grabon, VP, Human Resources, Carlyle & Co.
Public Comment Michael C. Henkel, President, Ibbotson Associates, Chicago, Illinois
Public Comment David Seely, First National Bank of Omaha, WMG Operations
Public Comment Lachhman Dass Gupta, Dover, Delaware
Public Comment Cathey Farmer, Compliance Associate, Denver, Colorado
Meeting with SEC Officials Memorandum from the Division of Investment Management regarding an November 16, 2004, meeting with representatives from Alliance Capital Management Corporation and and the Office of Compliance Inspections and Examinations
Meeting with SEC Officials Memorandum from the Office of Commissioner Cynthia A. Glassman regarding a meeting with representatives of the Investment Company Institute, Fidelity Investments, OppenheimerFunds, and MFS Investment Management
Meeting with SEC Officials Memorandum from the Office of Commissioner Paul S. Atkins regarding a meeting with representatives of the Investment Company Institute, MFS Investment Management, Fidelity Management & Research Company, and Oppenheimer Funds
Public Comment R. Gregory Barton, Managing Director and General Counsel, Vanguard Group
Public Comment James A. Klein, President, American Benefits Council
Public Comment Sally Miller
Public Comment Brian H. Graff, Esq., APM, Executive Director and CEO, American Society of Pension Actuaries
Meeting with SEC Officials Memorandum from the Division of Investment Management regarding a September 27, 2004 meeting with representatives of the Investment Company Institute, Capital Research, DST, Federated, Fidelity, Merrill Lynch, MFS, Oppenheimer Funds, T. Rowe Price, and Vanguard
Public Comment Maria F. Dwyer, Chief Regulatory Officer, MFS Investment Management
Public Comment Paul Schott Stevens, President, Investment Company Institute
Public Comment Brian Graff
Meeting with SEC Officials Memorandum from the Division of Investment Management regarding an August 18, 2004 meeting with representatives of the SPARK Institute, Inc., American Bankers Association, T. Rowe Price, and Wachovia Corporation
Public Comment Mark J Mahshie, Liverpool, New York
Meeting with SEC Officials Memorandum from the Office of Commissioner Atkins regarding a June 15, 2004 meeting with representatives from the Society of Asset Allocators and Fund Timers, Inc. and Edelman

Last Reviewed or Updated: Dec. 18, 2025

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