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

Filter comments

Date Received
Date Letter Type Commenter Name
Public Comment W. Thomas Conner, Sutherland Asbill & Brennan LLP
Public Comment Aleen M. Swofford, PhD., CLU, ChFC, CSA, President, Swofford Financial Services and Immediate Past-President, Society of Financial Service Professionals , Knoxville, Tennessee
Public Comment Anthony M. Ferrante, Associate Vice President, Computer Design and Integration LLC, Teterboro, New Jersey
Public Comment Barry Augenbraun, Senior Vice President, Raymond James Financial, Inc., St. Petersburg, Florida
Public Comment David L. Frank, CFP, CIMA, AIFA, Financial Planner/Asset Manager/ Broker, Mountainside, New Jersey
Public Comment Edward D. Fulbright, CPA, PFS, Durham, North Carolina
Public Comment Ellen Turf, CEO, and Jamie Milne, Chairman, The National Association of Personal Financial Advisors, Arlington Heights, Illinois
Public Comment Evelyn N. MacIntyre, CFP, Capellif Financial Services, Inc., Bloomfield Hills, Michigan
Public Comment Henry L. Woodward, CFP, Principal, Woodward Financial Advisors, LLC, Chapel Hill, North Carolina
Public Comment John Dragstrem, Naperville, Illinois
Public Comment John G. Bowen, CPA, CFP, NAPFA, NAPFA Member, President-Elect, Central VA FPA
Public Comment John S. Putnam, Registered individual, St. Petersburg, Florida
Public Comment Larry E. Nolt, Souderton, Pennsylvania
Public Comment Marilyn C. Dimitroff, CFP, President, Capelli Financial Services, Inc., Bloomfield Hills, Michigan
Public Comment Martin P. Mesecke, President, Self Worth Financial Planning, Plano, Texas
Public Comment Peter W. Weston, Ed.D, CFP, NAPFA, Birmingham, Alabama
Public Comment Susan E. Taverna, CFP, Lexington, Massachusetts
Public Comment William K. Dix, Jr., Raleigh, North Carolina
Public Comment Alison A. Bezyak, CFP, Columbus, Ohio
Public Comment Barbara L. N. Roper, Director of Investor Protection, Consumer Federation of America
Public Comment Bruce R. Wagner, Independent Associate, NetWorth, Inc., Maple Grove, Minnesota
Public Comment Casey M. Bowman, Columbus, Ohio
Public Comment Darcy J. Bialkowski, Columbus, Ohio
Public Comment Dave Moran, CFP, Senior Vice President; Evensky, Brown Katz, Coral Gables, Florida
Public Comment David Prince, Marietta, Georgia
Public Comment David Walz, CFP, Oak Park, Illinois
Public Comment Elise I. Archer, Columbus, Ohio
Public Comment Eric G. Shisler, CFA, Columbus, Ohio
Public Comment Gary J. Marcinick, CMFC, Columbus, Ohio
Public Comment J. T. Young, J.D., Columbus, Ohio

Last Reviewed or Updated: Dec. 18, 2025

File Number
S7-25-99
Release Number
34-42099
IA-1845
How to submit comments