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 Steven H. Richman, PhD, Highland Park, New Jersey
Public Comment Suzanne A. Richman, Highland Park, New Jersey
Public Comment Marc E. Lackritz, President, Securities Industry Association
Public Comment Franklin L. Widmann, President, North American Securities Administrators Association, and Chief, New Jersey Bureau of Securities
Public Comment Barbara Roper, Director of Investor Protection, Consumer Federation of America
Public Comment Michael D. Udoff, Associate General Counsel and Secretary, Securities Industry Association
Public Comment Roy C. Whitmore, CFP, CSA, Athens, Ohio
Public Comment Steve Curtis, Babylon, New York
Public Comment Jim Horlacher, MBA, Overland Park, Kansas
Public Comment Christine A. Smith, Esq., CPA, Arlington, Virginia
Public Comment Donald S. Loveless, CFA, President, Independent Investors Inc., Billings, Montana
Public Comment Charlotte E. Caffrey, Hollywood, Florida
Public Comment Timothy C. Harrington, CFP, Marin Financial Advisors, Larkspur, California
Public Comment Jeff B. Witten, CFP, Columbia, Missouri
Public Comment Russ
Public Comment David N. Shore, Registered Investment Advisor, Marin Financial Advisors, Larkspur, California
Public Comment Thomas A. Gafford, Owner, Gafford Technology, Las Vegas, Nevada
Public Comment Gordon E. Jones, CFP, Investment Advisor Representative, Raymond James Advisory Services, Inc.
Public Comment Peter M. Kravitz, Director, Congressional & Political Affairs, on behalf of Joel H. Framson, CPA/PFS, CFP, Chair, Personal Financial Planning Executive Committee, American Institute of Certified Public Accountants
Public Comment Arthur F. Grant, President and CEO; Cadaret, Grant & Co., Inc.
Public Comment Arthur F. Grant, President and CEO; Cadaret, Grant Co., Inc., Syracuse, New York
Public Comment Barbara E. Wintner, CFP, Independent Certified Financial Planner, Township of Washington, New Jersey
Public Comment Becky H. Salsburg, CFP, Lake Oswego, Oregon
Public Comment Blaine Dunn, Winchester, Virginia
Public Comment Charles D. Meyer, MBA, CFP, Fee-Only Investment Advisor, Meyer Advisory Services, Hampton, New Jersey
Public Comment Christopher P. Gilkerson, Vice President and Associate General Counsel, Charles Schwab & Co., Inc.
Public Comment Dale E. Brown, CAE, Executive Director and CEO, Financial Services Institute
Public Comment Daniel B. Roe, CFP, Columbus, Ohio
Public Comment David B. Yeske, San Francisco, California
Public Comment David G. Tittsworth, Executive Director, Investment Counsel Association of America

Last Reviewed or Updated: Dec. 18, 2025

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