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
Public Comment Christopher D. Rich, CFP, Managing Member, RMR Financial Advisors LLC, Madison, Wisconsin
Public Comment David A. Savage, CFP, Principal, Capstone Wealth Management Group, LLC, Bend, Oregon
Public Comment David M. Kover, CFP, Financial Planning Association , Chicago, Illinois
Public Comment Dean L. Boebinger, CFP, Houston, Texas
Public Comment Douglas Rice, Professor, Golden Gate University, San Francisco, British Columbia
Public Comment Eric E. Haas, Chief Investment Officer, Altruist Financial Advisors LLC, Holland, Michigan
Public Comment Gregory A. Syrios, La Jolla, California
Public Comment James Shumway
Public Comment John B. Smith, II, Certified Financial Planner, Alexandria, Virginia
Public Comment Kelly F. Crane, CFP, CFA, CLU, Napa Valley Wealth Management, St. Helena, California
Public Comment Kenneth P. Schmidt, CFP, Fort Wayne, Indiana
Public Comment Kevin F. Schulz, MBA, Certified Financial Planner practitioner, Bellevue, Washington
Public Comment Mark Greenberg, JD, investment advisor, Walnut Creek
Public Comment Melissa Dombrowski, Trabuco Canyon, California
Public Comment Michael J. Maslanka, CFP, Mobile, Alabama
Public Comment Michael Pace, CFP, Seattle, Washington
Public Comment Paul C. Brown, Associate Planner, Plano, Texas
Public Comment Paul Young, fee only financial advisor, Winchendon, Massachusetts
Public Comment Steven M. Kersey, CFP, ChFC, CLU, Member of the Financial Planning Association, Oak Harbor, Washington
Public Comment William B. Burns, Jr., Jamesville, New York
Public Comment Rachel Young, CFA, registered investment adviser
Public Comment William D. Luisi, EA, IA, Member National Association of Tax Professionals, National Association of Enrolled Agents, Clinton, Massachusetts
Public Comment Christopher L. Matteson, Member, Integrated Planning Strategies, LLC, Oklahoma City, Oklahoma
Public Comment Frederick J. Deyeso, III, New York, New York
Public Comment Carl Forcione, Esquire, Medford, Massachusetts
Public Comment Frank Moore, CEO, Vintage Financial Services, Ann Arbor, Michigan
Public Comment Jean Mote, President, Mote Wealth Management, LLC, Cedar Rapids, Iowa
Public Comment Michael Boyd, CFP, Financial Planners Association, Rhinelander, Wisconsin
Public Comment Paul E. Coan, Indianapolis, Indiana
Public Comment Reginald L. Jensen, CLU, CFP, ChFC, CSA, San Jose, California

Last Reviewed or Updated: Dec. 18, 2025

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