Comments on Proposed Rule: Certain Broker-Dealers Deemed Not To Be Investment Advisers

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

Comment
A: 223

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Date Received
Date Letter Type Commenter Name
Meeting with SEC Officials Memorandum from the Office of Commissioner Glassman regarding a March 24, 2005 meeting with representatives of the Financial Planning Association
Meeting with SEC Officials Memorandum from the Office of Commissioner Goldschmid regarding a March 30, 2005 meeting with representatives of Legg Mason, Merrill Lynch, Morgan Stanley, Securities Industry Association, UBS Wealth Management, and Shearman & Sterling
Meeting with SEC Officials Memorandum from the Office of the Chairman regarding a March 30, 2005 meeting with representatives of the Financial Planning Association
Meeting with SEC Officials Memorandum from the Office of the Chairman regarding a March 30, 2005 meeting with representatives of the Investment Counsel Association of America
Meeting with SEC Officials Memorandum from the Office of the Chairman regarding a March 30, 2005 meeting with representatives of the Securities Industry Association
Public Comment Richard Millar, MBA, CFP, Olympia, Washington
Public Comment Elisse B. Walter, Executive Vice President, Regulatory Policy and Oversight, NASD
Public Comment Mercer Bullard, Founder and President, Fund Democracy, Inc. and Barbara Roper, Director of investor Protection, Consumer Federation of America
Public Comment Anat Kendal, Director, Financial Planning
Public Comment Morgan Stanley
Public Comment Leon L. Morris, RFC, CLU, ACS, ChFC, CME, RMP, FFSI, Executive Director, Mortgage Institute for Financial Services Professionals, Inc., Atlanta, Georgia
Public Comment Steven W. Stone, Morgan, Lewis & Bockius LLP
Public Comment Paul M. League, QFP, CFP, Co-Founder, Chairperson and President, International Association of Qualified Financial Planners
Public Comment Howard Erman, CFP, CRC, Branch Manager, Erman Retirement Advisory, Cypress, California
Public Comment Nancy Lininger, Founder/Consultant, The Consortium
Meeting with SEC Officials Memorandum from the Office of the Chairman regarding a March 9, 2005 meeting with representatives of the Personal Financial Planning Executive Committee of the American Institute of Certified Public Accountants
Meeting with SEC Officials Memorandum from the Division of Investment Management regarding a March 10, 2005 meeting with representatives of the Securities Industry Association
Public Comment Mark A. Kaprelian, Secretary, Northwestern Mutual Investment Services, LLC
Meeting with SEC Officials Memorandum from the Office of the Chairman regarding a February 10, 2005 meeting with representatives of the Securities Industry Association
Public Comment Results of Investor Focus Group Interviews About Proposed Brokerage Account Disclosures
Public Comment David Certner, Director, Federal Affairs, AARP
Public Comment ReBecca Koenig Roloff, SVP Global Financial Advice & Systems, American Express Financial Advisors Inc.
Public Comment Ron A. Rhoades, B.S., JD, Director of Research, CCO, Joseph Capital Management, LLC
Public Comment John Sullivan, Wheaton, Illinois
Public Comment David O. Spinar, Chief Compliance Officer, Securities America, Inc.
Meeting with SEC Officials Memorandum from the Office of Commissioner Glassman regarding a February 17, 2005 meeting with representatives of the Consumer Federation of America and Investment Counsel Association of America
Public Comment Theodore A. Miles, Director, Securities Bureau of the District of Columbia's Department of Insurance, Securities and Banking
Public Comment Henry H. Hopkins, Chief Legal Counsel, and Darrell N. Braman, Associate Legal Counsel, T. Rowe Price Associates, Inc.
Public Comment Jonathan Smith, CEO/Partner, Jonathan Smith & Co., LLC
Public Comment Jeffrey F. Goldman, Las Vegas, Nevada

Last Reviewed or Updated: Dec. 18, 2025

File Number
S7-25-99
Release Number
34-42099
IA-1845
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