Comments on Proposed Release: Certain Thrift Institutions Deemed Not To Be Investment Advisers

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Date Received
Date Letter Type Commenter Name
Public Comment Ron A. Rhoades, B.S., J.D., Director of Research, Chief Compliance Officer, Joseph Capital Management, LLC
Public Comment Mark R. Thresher, President and Chief Operating Officer, Nationwide Financial Services Inc.
Public Comment Diane Casey-Landry, President and CEO, America's Community Bankers
Public Comment Sarah A. Miller, Director, Center for Securities, Trust and Investments, American Bankers Association
Public Comment Michael M. O'Brian, OceanFirst Bank
Public Comment James E. Gilleran, Director, the Office of Thrift Supervision
Public Comment David G. Tittsworth, Executive Director, Investment Counsel Association of America
Public Comment Diane Casey-Landry, President and CEO, America's Community Bankers
Public Comment James E. Gilleran, Director, the Office of Thrift Supervision
Public Comment James P. Puhala III, Second V.P. & Associate General Counsel, MassMutual Financial Group
Public Comment Mark R. Thresher, President and Chief Operating Officer, Nationwide Financial Services, Inc.
Public Comment Mark R. Thresher, President and Chief Operating Officer, Nationwide Financial Services, Inc.
Public Comment Mark S. Sivertson, SVP & Trust Officer, Home Federal Bank
Public Comment Neil A. Simon, Esq., Director of Government Relations, Financial Planning Association
Public Comment Richard F. Grabish, Ph.D., Chairman & CEO, A.G. Edwards Trust Company FSB
Public Comment Richard M. Whiting, Executive Director and General Counsel, Financial Services Roundtable
Public Comment Charles R. Lee, Vice President and Director of Bank Administration, MidFirst Bank
Public Comment Joe Hawkes, Executive Trust Officer and Senior Counsel, PFF Bank & Trust
Public Comment Christopher Cole, Regulatory Counsel, Independent Community Bankers of America
Public Comment James Cousins
Public Comment Michael K. Renetzky, Lord, Bissell & Brook LLP
Public Comment Robert G. Jones, Executive Vice President, KeyBank
Public Comment Christian G. Hellmann, Chairman and CEO, Merrill Lynch Trust Company, FSB
Public Comment Duane R. Thompson, Director of Government Relations, Financial Planning Association
Public Comment David G. Tittsworth, Executive Director, Investment Counsel Association of America
Public Comment Ellen Seidman, Director, Office of Thrift Supervision, Department of the Treasury
Public Comment Diane M. Casey, America's Community Bankers
Public Comment Patricia R. Hatler, Senior Vice President, General Counsel and Secretary, Nationwide
Public Comment Duane R. Thompson, Director of Government Relations, The Financial Planning Association
Public Comment Scott M. Albinson, Office of Thrift Supervision, Department of the Treasury

Last Reviewed or Updated: Dec. 18, 2025

File Number
S7-20-04
Release Number
34-49639
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