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 Duane R. Thompson, Group Director, Advocacy, Financial Planning Association
Public Comment Geoffrey F. Foisie
Public Comment Henry H. Hopkins, Chief Legal Counsel, and Darrell N. Braman, Associate Legal Counsel, T. Rowe Price Associates, Inc.
Public Comment Howard J. Dunn, consumer, Winchester, Virginia
Public Comment Ira D. Hammerman, General Counsel, Securities Industry Association
Public Comment James G. Bigham, Managing Director, Brighton Presidio Capital Management, Houston, Texas
Public Comment James G. McGrath, CPA, CFP, CLU
Public Comment James W. Peay, MBA, CFP, Birmingham, Alabama
Public Comment Jo Ellen M. Guld, Fort Lauderdale, Florida
Public Comment Joel H. Framson, CPA/PFS, CFP, Chair, Personal Financial Planning Executive Committee, American Institute of Certified Public Accountants
Public Comment John Perkins
Public Comment Kenneth Kacy Gott, CFP, CPA, Principal, Kochis Fitz, San Francisco, California
Public Comment Marc E. Gitlitz, CFP, President, Integrated Concepts Inc, Lakewood, Colorado
Public Comment Mark A. Kaprelian, Secretary, Northwestern Mutual Investment Services, LLC
Public Comment Michael Herndon, Director, Public & Government Affairs, Certified Financial Planner Board of Standards, Inc.
Public Comment Michael J. Sharp, General Counsel, Smith Barney
Public Comment Morris Armstrong, President, Armstrong Financial Strategies and member of NAPFA, New Milford, Connecticut
Public Comment Nora M. Jordan, Davis Polk & Wardwell
Public Comment Pat Coyle, Medicine Lake, Minnesota
Public Comment Paul S. Gottlieb, First Vice President, Assistant General Counsel, Private Client Group, Merrill Lynch
Public Comment Peggy M. Ruhlin, CPA, CFP, Columbus, Ohio
Public Comment Robert D. Fish, CPA, Financial Planning Association of Southern Wisconsin, Muskego, Wisconsin
Public Comment Ryan R. Berges, Edmond, Oklahoma
Public Comment Stephanie Parlee, CFP, EA
Public Comment Stephen D. Johnson, CFP, President, Johnson Marotta, Registered Investment Adviser, Palo Alto, California
Public Comment Tamara K. Salmon, Senior Associate Counsel, Investment Company Institute
Public Comment Thaddeus Borek, attorney and Registered Investment Advisor, San Francisco, California
Public Comment Timothy P. Pinnington, Vice Chair and Chief Operating Officer, TD Waterhouse Investor Services, Inc.
Public Comment Todd Washburn, CFP
Public Comment Ulrich E. Keller, Jr., AIMR, FPA, Irvine, California

Last Reviewed or Updated: Dec. 18, 2025

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