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 Michael D. Udoff, Vice President, Associate General Counsel and Secretary, Securities Industry Association
Public Comment Michael DeNofrio, Executive Vice President -Senior Managing Director, Investing Services- Transfer Agency, PFPC Inc.
Public Comment Michelle L. Hoesly
Public Comment Neal S. Wolin, Executive Vice President and General Counsel, HL Investment Advisors, LLC, The Hartford Financial Services Group, Inc.
Public Comment Niels Holch, Executive Director, Coalition of Mutual Fund Investors
Public Comment Otis H. Cowan, Vice President and Assistant General Counsel, American Century Investments
Public Comment Paul Schatz
Public Comment Peter B. Mauthe
Public Comment Ralph A. Lambiase, NASAA President and Director, Connecticut Division of Securities, North American Securities Administrators Association
Public Comment Robert G. Wuelfing, SPARK Institute
Public Comment Robert W. Armstrong, Esquire, Assistant General Counsel of Transamerica Occidental Life Insurance Company, Los Angeles, California
Public Comment Robin S. Yonis, Vice President, Investment Counsel, Law Department, Pacific Life Insurance Company
Public Comment Sam C. Bills
Public Comment Skip Schweiss, Executive Vice President, First Trust Corporation
Public Comment Stephanie Kelly, Olsen & Guidry, L.L.C.
Public Comment Stephen B. Blumenthal, CMG - Capital Management Group, Inc.
Public Comment Stephen W. Mack, CFP, RFC, President, Mack Investment Securities, Inc.
Public Comment Steven D. Landis, CFP, Landis Financial & Investment Services
Public Comment Steven W. Medland, Newport Beach, California
Public Comment Sujey Kallumadanda, Esq., Counsel & Assistant Director of Government Relations, Financial Planning Association
Public Comment Surya Subramanian
Public Comment Theresa M. Brunsman, Assistant Counsel, Union Central Life Insurance Company
Public Comment William A. Bridy, First Vice President, Merrill Lynch, Pierce, Fenner & Smith Incorporated
Public Comment William F. Galvin, Secretary of the Commonwealth, Commonwealth of Massachusetts
Public Comment William Francis Galvin, Secretary of Commomwealth, Commonewealth of Massachusetts
Public Comment Andrew Ferraro, CFP, Drew Planners Inc.
Public Comment Kevin P. Holland, President, CPA/PFS, CFP, AAMS, CMFC, MBA, Holland Financial Management, Inc.
Public Comment Mark Drury
Public Comment Michael P French
Public Comment Neal Nakagiri, President and CEO, Associated Securities Corp.

Last Reviewed or Updated: Dec. 18, 2025

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