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 Sort descending	Letter Type	Commenter Name
Sept. 20, 2004	Public Comment	Jami M. Thornton, Columbus, Ohio
Sept. 20, 2004	Public Comment	Jeffrey R. Loehnis, CPA, CFP, Columbus, Ohio
Sept. 20, 2004	Public Comment	Jennifer T. Shultz, Columbus, Ohio
Sept. 20, 2004	Public Comment	John C. Mercer, Columbus, Ohio
Sept. 20, 2004	Public Comment	John Ellison, Proprietor, Ellison Investment Advisors, Fairfax, Virginia
Sept. 20, 2004	Public Comment	Kevin M. Doll, Columbus, Ohio
Sept. 20, 2004	Public Comment	Laura A. Hamilton, Columbus, Ohio
Sept. 20, 2004	Public Comment	Laura J. Morrison, Columbus, Ohio
Sept. 20, 2004	Public Comment	Linda Patchett, CFP, Chapel Hill, North Carolina
Sept. 20, 2004	Public Comment	Lisa S. Walls, CFP, Columbus, Ohio
Sept. 20, 2004	Public Comment	Michael P. Faieta, Columbus, Ohio
Sept. 20, 2004	Public Comment	Nathaniel T. Jones, Columbus, Ohio
Sept. 20, 2004	Public Comment	Phoebe M. White, Columbus, Ohio
Sept. 20, 2004	Public Comment	R. M. Hamilton, CFP, Columbus, Ohio
Sept. 20, 2004	Public Comment	Richard S. Hayes, CFA, CFP, Wingate Financial Group, Inc., Lexington
Sept. 20, 2004	Public Comment	William A. Leuby, J.D., CPA, CFP, Ohio Society of CPAs, Financial Planning Association, Columbus Bar Association, Columbus, Ohio
Sept. 20, 2004	Public Comment	William S. Hrank, RFC, CGFM, Financial Planning Association, Midlothian, Virginia
Sept. 19, 2004	Public Comment	Allen Weiss
Sept. 19, 2004	Public Comment	Errold F. Moody Jr., BSCE, LLB, MBA, PhD
Sept. 19, 2004	Public Comment	Vincent Rossi, MSFS, CFP, CLU, CIMA, AEP, CAP, CTFA, Chairman, Wealth Planning Institute, Scottsdale, Arizona
Sept. 18, 2004	Public Comment	Connie Brezik, CPA/PFS, NAPFA, Casper, Wyoming
Sept. 18, 2004	Public Comment	Eric A. Mote, Financial Planning Association, National Association of Personal Financial Advisors, Cedar Rapids, Iowa
Sept. 18, 2004	Public Comment	John P. Carrig, CFA, CFP, Deerfield Beach, Florida
Sept. 18, 2004	Public Comment	William H. "Herb" Kirby, CFP, Kirby Group, Inc., Reno, Nevada
Sept. 17, 2004	Public Comment	Berthel A. Olsen, III, Minneapolis, Minnesota
Sept. 17, 2004	Public Comment	Charles S. Vinoski
Sept. 17, 2004	Public Comment	Edward Moore, Financial Advisor, Fairfax, Virginia
Sept. 17, 2004	Public Comment	George Toth, Erdenheim, Pennsylvania
Sept. 17, 2004	Public Comment	Gerald R. Weiss, financial planner, Reno, Nevada
Sept. 17, 2004	Public Comment	James D. Schwartz, Desert Valley Financial Planning, LLC, Gilbert, Arizona

Last Reviewed or Updated: Dec. 18, 2025

File Number

S7-25-99

Release Number

34-42099

IA-1845

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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:

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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:

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