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 Anna M. Taglieri, Lynbrook
Public Comment Stephanie Berger
Public Comment Holly Cohen, Brewster, New York
Public Comment M. L. Mangan, Annapolis, Maryland
Public Comment Regina Ballinger, Certified Financial Planner
Public Comment Richard L. Cox, ChFC, SFSP Greater Chattanooga Professional Development Chair, Chattanooga, Tennessee
Public Comment S. Corr, Massachusetts
Public Comment Bayard Bigelow, III, MBA, CPA, President and CEO, The Cambridge Alliance
Public Comment Bayard Bigelow, III, MBA, CPA, President and CEO, The Cambridge Alliance, LLC
Public Comment Edwin P. Morrow, CLU, ChFC, CFP, CEP, RFC Chairman and CEO, International Association of Registered Financial Consultants, Inc.
Public Comment Erik Wolfers, Principal, Wolfers Asset Management
Public Comment Dennis H. Vogt, IAR for Personal Investment Management, Inc., Bellevue, Washington
Public Comment Ron A. Rhoades, B.S., JD, Director of Research, Chief Compliance Officer, Joseph Capital Management, LLC
Public Comment Stephen P. Moulton, CFA, President and CEO, Stephen P. Moulton Associates, Ltd., LeRoy, New York
Public Comment Ron A. Rhoades, B.S., JD, Director of Research, Chief Compliance Officer, Joseph Capital Management, LLC
Public Comment Ray Franklin, Fort Collins, Colorado
Public Comment Margaret J. Dillon, Litchfield, Connecticut
Public Comment Barbara Roper, Director of Investor Protection, Consumer Federation of America
Public Comment David Klausner, consultant, Redwood City, California
Public Comment Nancy Yamagata
Public Comment Theresa Habshey, Birmingham, Alabama
Public Comment Lary Mydland, Lathrop, Missouri
Public Comment Laura Lee, Coppell, Texas
Public Comment Mark Edwards, Syracuse, New York
Public Comment Richard A Knighton, Harrisburg, Pennsylvania
Public Comment Richard Warden, Arnold, Maryland
Public Comment Thomas Wadzinski, Anchorage, Alaska
Public Comment Ms. Carol Bronder, Saint Paul, Minnesota
Public Comment Kathy Mitchell, Austin, Texas
Public Comment Judith M. Richman, Highland Park, New Jersey

Last Reviewed or Updated: Dec. 18, 2025

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