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 Rick Grant
Public Comment Robert L Tritten
Public Comment Raymond Gambel
Public Comment Diana Plucienkowski, CFP, Meg Green & Associates, Inc.
Meeting with SEC Officials Memorandum from the Office of Commissioner Goldschmid regarding an April 13, 2004 meeting with representatives of the Society of Asset Allocators and Fund Timers, Inc.
Public Comment David B. Jones, Senior Vice President and Eric D. Roiter, Senior Vice President and General Counsel, Fidelity Management & Research Company
Public Comment Lisa Fry
Public Comment Sarah A. Miller, Director, Center for Securities, Trust And Investment, American Bankers Association
Public Comment James W. Vitalone, CFA, Chair, U.S. Advocacy Committee and Linda L. Rittenhouse CFA Institute Advocacy, U.S. Advocacy Committee of CFA Institute
Public Comment Darrell D. Wiard, Registered Investment Advisor, Mutual Fund Investor, Merritt, North Carolina
Public Comment Milton L. Brooks, Washington, District of Columbia
Public Comment Riley J. Furr, Baton Rouge, LA
Public Comment Sarah A. Miller, Director, Center for Securities, Trust and Investments, American Bankers Association
Public Comment Eugene P. Saxby, Solvang, California
Public Comment Robert A. Arnold, Senior Vice-President, Division Manager, Trust Operations, National City Corporation
Public Comment Bruce Synnott
Public Comment Steve McElravy, Financial Consultant, Brookstreet Securities
Public Comment Barbara Roper, Director of Investor Protection, Consumer Federation of America and Mercer Bullard, Founder and President, Fund Democracy, Inc.
Public Comment Christopher J. Lyons, CFM, Wealth Management Advisor, Merrill Lynch
Public Comment Pamela K. Panther, Las Vegas, NV
Public Comment Alan D. Weiss, President, dynamic investment strategies
Public Comment Amber Olsen, Chief Operation Officer, Keystone Capital Management, Inc.
Public Comment Amy R. Doberman, Managing Director, General Counsel, UBS Global Asset Management
Public Comment Bob M. Kargenian, Placentia, California
Public Comment Camille Donald, Massachusetts Mutual Life Insurance Company
Public Comment Carl B. Wilkerson, Vice President & Chief Counsel- Securities & Litigation, American Council of Life Insurers
Public Comment Dale E. Brown, CAE, Executive Director & CEO, Financial Services Institute
Public Comment Dana Lyons
Public Comment Darrell D. Wiard, RIA, Merritt, North Carolina
Public Comment David F. Freeman, Jr., Arnold & Porter, LLP

Last Reviewed or Updated: Dec. 18, 2025

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