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 Atkins regarding a meeting with representatives of the Investment Counsel Association of America and Consumer Federation of America
Public Comment Raymond H. Gambel, retired, Metairie, Louisiana
Public Comment Raymond H. Gambel, retired, Metairie, Louisiana
Public Comment Jeffrey N. Coffee
Public Comment Steven K. McGinnis, Loring Ward Securities, San Jose, California
Public Comment Elisse B. Walter, Executive Vice President, NASD
Public Comment Jeff Coffee, Las Vegas, Nevada
Meeting with SEC Officials Memorandum from the Office of Commissioner Glassman regarding a January 24, 2005 meeting with representatives of the Certified Financial Planner Board of Standards, Inc.
Meeting with SEC Officials Memorandum from the Office of Commissioner Glassman regarding a January 31, 2005 meeting with representatives of the Securities Industry Association
Public Comment Larry Pierce, CFP, Financial Advisor, Waddell Reed, La Crosse, Wisconsin
Public Comment James L. Budros, CFP, Principal, Budros Ruhlin Roe
Public Comment John J. Miller, attorney, Kansas City, Missouri
Public Comment Leon Morris, QFP, ChFC, RFC, CLU, ACS, CME, RMP, FFSI, Executive Director, Mortgage Institute for Financial Services Professionals, Inc., Woodstock, Georgia
Public Comment Eric D. Hess, CFP, ChFC, managing director, McLean, Virginia
Public Comment Kenneth L. Kesler, Registered Representative, SWS Financial Services, Houston, Texas
Public Comment Robert Maeder, NAPFA affiliate and FPA/MA candidate
Public Comment Stephen D. Johnson, CFP, President, Johnson Marotta, Palo Alto, California
Public Comment Theodore A. Miles, Director, Securities Bureau, Department of Insurance, Securities and Banking, District of Columbia
Public Comment Todd C. Ganos, DBA, CFP, Doolittle Ganos Investment Counsel, LLC, Carmel, California
Public Comment Anthony Ferreira, San Diego, California
Public Comment Barbara Roper, Director of Investor Protection, Consumer Federation of America
Public Comment Blaine P. Dunn, CFP practioner and consumer, Winchester, Virginia
Public Comment Brad A. Thompson, Financial Advisor, American Express Financial Advisors Inc., Dallas, Texas
Public Comment Charles D. Meyer, MBA, CFP, Meyer Advisory Services
Public Comment Craig Hillegas, Certified Financial Planner, Master of Science, Business Administration, Escondido, California
Public Comment Daniel B. Moisand, Melbourne, Florida
Public Comment David G. Tittsworth, Executive Director, Investment Counsel Association of America
Public Comment Duane R. Thompson, Group Director, Advocacy, Financial Planning Association
Public Comment Ed Hynes, CFA, President, Farm Creek Securities, LLC
Public Comment Ellen Turf, CEO, The National Association of Personal Financial Advisors

Last Reviewed or Updated: Dec. 18, 2025

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