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 Vincent Rossi, MSFS, CFP, CLU, CIMA, AEP, CAP, CTFA, Chairman, Wealth Planning Institute, Scottsdale, Arizona
Public Comment Walter F. Burns, CFP, President, Burns Financial Management, Palm Beach Gardens, Idaho
Public Comment Anthony T. Moreschi, North Andover, Massachussetts
Public Comment Bob Althen
Public Comment Daniel Laughman, Bear, Delaware
Public Comment David A. Outzs
Public Comment Deepak Sharma
Public Comment Elizabeth A. Sharkazy
Public Comment George E. McCarthy, Swarthmore, Pennsylvania
Public Comment Irving Brown
Public Comment Jamie Milne, CFP, West Danville, Vermont
Public Comment John Bowen, Pittsford, New York
Public Comment Kevin J. Yang, Santa Clara, California
Public Comment Lena I. Nyffenegger
Public Comment Paul Beenen
Public Comment Richard E. Smith
Public Comment Steven Graves, President, Du-Mont Co., Peoria, Illinois
Public Comment Thomas F. Mann
Public Comment Albert J. Morrow, Chicago, Illinois
Public Comment B. T. Conry, Jr.
Public Comment Brian Breidenbach, MBA, CPA, CFA
Public Comment Brian R. Smith, CFP
Public Comment Charles W. Reace, Sr., Westampton, New Jersey
Public Comment David White
Public Comment Diane Hedrich
Public Comment Douglas F. Sheehan
Public Comment Hal L. Rose, Attorney at Law, Bellmore, New York
Public Comment James A. Stehr, AIA, Alameda, California
Public Comment James Lorence, Lorence & VanderZwart
Public Comment Jeff Blatt, Golden, Colorado

Last Reviewed or Updated: Dec. 18, 2025

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