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. 17, 2004	Public Comment	Jay M. Ring, CPA, CFP, St. Louis, Missouri
Sept. 17, 2004	Public Comment	Larry West, Registered Investment Advisor, Huntsville, Alabama
Sept. 17, 2004	Public Comment	Lucas Bucl, Financial Planning Specialist, Accredited Investors Inc., Eagan, Minnesota
Sept. 17, 2004	Public Comment	Mark Nickell, Franklin, Tennessee
Sept. 17, 2004	Public Comment	Mary Beth Dale, Registered Nurse for Kaiser Permanente, Aliso Viejo, California
Sept. 17, 2004	Public Comment	Melissa K. Hammel, CFP, NAPFA Registered Advisor, Managing Partner, Hammel Financial Advisory Group, LLC, Brentwood, Tennessee
Sept. 17, 2004	Public Comment	Michael S. Krupit
Sept. 17, 2004	Public Comment	Robert W. Eichten, Director, Financial Planning and Practice Management, Minneapolis, Minnesota
Sept. 17, 2004	Public Comment	Rosie Chin, San Mateo, California
Sept. 17, 2004	Public Comment	Roxanne Fleszar, CFP, ChFC, Financial Resources Management Corporation, Key West, Florida
Sept. 17, 2004	Public Comment	Samindra Supaari, individual investor, Northborough, Massachusetts
Sept. 17, 2004	Public Comment	Steven D. Carlson, CPA/CFP, CEO, Carlson Olsen Financial Partners, Minneapolis, Minnesota
Sept. 17, 2004	Public Comment	Susan Dickie
Sept. 17, 2004	Public Comment	Susan M. John, CFP, NAPFA, FPA, Registered Investment Advisor, Wolfeboro, New Hampshire
Sept. 16, 2004	Public Comment	Abbas A. Heydari, CFP, Torrance, California
Sept. 16, 2004	Public Comment	Alan Havir, Financial Planner, Phoenix, Arizona
Sept. 16, 2004	Public Comment	Alice W. Hallford, CFP, NAPFA, FPA, Hallford Financial Advisors, Jackson, Mississippi
Sept. 16, 2004	Public Comment	Christine Pawlenty, Woodbury, Minnesota
Sept. 16, 2004	Public Comment	Dan Depolito
Sept. 16, 2004	Public Comment	Deborah L. Thomas, JD, CFP, Silver Oak Advisory Group, Portland, Oregon
Sept. 16, 2004	Public Comment	Eric C. Lind, Financial Advisor, Morgan Stanley, Minneapolis, Minnesota
Sept. 16, 2004	Public Comment	Esther Paulsen, Registered Representative, Bloomington, Minnesota
Sept. 16, 2004	Public Comment	George A. Loomis, CFP, Minneapolis, Minnesota
Sept. 16, 2004	Public Comment	James R. Sauers, CLU, ChFC, Dacula, Georgia
Sept. 16, 2004	Public Comment	Jared W. Jameson, CFP, WJ Interests, LLC, Sugar Land, Texas
Sept. 16, 2004	Public Comment	Jeff L. Sessions, business owner, Sessions Financial Group, Minnetonka, Minnesota
Sept. 16, 2004	Public Comment	Joel S. Greenwald, MD, Certified Financial Planner, Financial Network Investment Corp., Minnetonka, Minnesota
Sept. 16, 2004	Public Comment	Joyce A. Franchett, Minneapolis, Minnesota
Sept. 16, 2004	Public Comment	Katherine D'Urso
Sept. 16, 2004	Public Comment	Marcia Coleman, Arlington, Virginia

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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