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 Maria M. Malooly, Financial Planner, Lincoln Financial Advisors, Minneapolis, Minnesota
Public Comment Michael A. Branham, CFP, Edina , Minnesota
Public Comment Nanct Mayer
Public Comment Nancy C. Gimmestad, CFP, Minneapolis, Minnesota
Public Comment Reed C. Fraasa
Public Comment Robert P. Lawson, Financial Advisor, Boulay Financial Advisors, Minneapolis, Minnesota
Public Comment Shawn J. Jacobson, CFP, Legacy Financial Advisors Inc, Member-Financial Planning Association MN, Minneapolis, Minnesota
Public Comment Steven F. Wertime, Ph.D., Falls Church
Public Comment Thomas A. Grose, CFP, Minneapolis, Minnesota
Public Comment Alfredo Mesa, Financial Planner, Atlanta, Georgia
Public Comment George C. Mahler, Jr., CFP, Richmond, Virginia
Public Comment James W. Diamond, Member, Financial Planning Association, Warwick, Rhode Island
Public Comment Jocelyn W. Holzwarth, CFS, CSA, CDFA; Registered Principal, National Planning Corporation; Registered Investment Advisor, Independent Planning Associates, LLC; Las Vegas, Nevada
Public Comment Karen Cox, fee-only financial planner, Melbourne, Florida
Public Comment Laurence S. Schultz; Driggers, Schultz & Herbst
Public Comment Lillian King, office assistant, Legend Financial Advisors, Inc., Pittsburgh, Pennsylvania
Public Comment Tommy G. Lewis II, ChFC, CLU, financial consultant, Raleigh, North Carolina
Public Comment Barbara Sherwood, Yardley, Pennsylvania
Public Comment Catherine L. Robson, CFP
Public Comment Cathy and Bob Minnick
Public Comment Charles OConnor, Owner, Charles Edward OConnor, Registered Investment Advisor, Torrance, California
Public Comment Chris White, Arlington, Virginia
Public Comment Dave Lederhos
Public Comment David H. Bugen
Public Comment David Yossem, CFP, ChFC, CLU, President, West Coast Financial, Santa Barbara, California
Public Comment Diana Morse, District Heights, Maryland
Public Comment Domineca Neal, owner, Solo Holdings Co.
Public Comment Lee H. Belaga
Public Comment Paul F. Jan
Public Comment Paul Loos, San Francisco, California

Last Reviewed or Updated: Dec. 18, 2025

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