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 Robert J Lindner, CFP, President, Lindner Capital Management and President, Lindner Capital Advisors, Marietta, Georgia
Public Comment S. D. Rahaim
Public Comment Soli Forouzan, President, Mind Span, Inc., Houston, Texas
Public Comment William C Jerome, CFP, Glenville, New York
Public Comment Bob Rahaim
Public Comment Carol H. Chesser, CFP, Vice President, Burn Financial Management, Palm Beach Gardens, Florida
Public Comment D. Deseranno
Public Comment Elena Graves
Public Comment Jeff Jerome, Boise, Idaho
Public Comment John E Bergland, Jr., CFP, FPA, NAPFA
Public Comment Phillip D. Bour, South Riding, Virginia
Public Comment Robert J. Richards Jr., CFP, CFS, RFC, BCM
Public Comment Roselyn Wilkinson, CFP, Pittsburgh, Pennsylvania
Public Comment Roz Roseman
Public Comment Scott Hoover, Haddonfield, New Jersey
Public Comment Shawnee Barbour, Jacksonville, Florida
Public Comment Stephen S. Winslett
Public Comment William F. Muhs, Ph.D., President, Montvest, Bozeman, Montana
Public Comment Anonymous reviewer
Public Comment Cary Carbonaro, CFP, MBA
Public Comment Donald B. Trone, AIFA, President, Foundation for Fiduciary Studies
Public Comment Frank Curcillo, Sarasota, Florida
Public Comment Herbert O. Aburn, Jr.
Public Comment Jerome D. Miller, Gaithersburg, Maryland
Public Comment John P. Platt, Jr., PE, Cat Spring, Texas
Public Comment Martin L. Hopkins, CFP, FPA, NAPFA, Centreville, Virginia
Public Comment Peggy and Jack Houser
Public Comment S. K. Lazear
Public Comment Susan D. Burghardt, Osterville, Massachusetts
Public Comment Swamini Ramananda

Last Reviewed or Updated: Dec. 18, 2025

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