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 Frederick Greene
Public Comment Geoffrey F. Foisie
Public Comment Harry L. Poplin
Public Comment Helen M. Mangano, Esq., New York, New York
Public Comment Ira D. Hammerman, Senior Vice President and General Counsel, Securities Industry Association
Public Comment James D. Price, Executive Vice President, UBS Financial Services Inc.
Public Comment James Smith, Portland, Oregon
Public Comment Jan K. Foval, FPA, Sun Prairie, Wisconsin
Public Comment Joel H. Framson, CPA/PFS, CFP, Chair, Personal Financial Planning Executive Committee, American Institute of Certified Public Accountants
Public Comment John E. Bergland, Jr., CFP
Public Comment John G. Bowen, CPA, CFP, NAPFA Registered Adviser, Co-President Central VA Chapter of FPA, Midlothian, Virginia
Public Comment John H. Schaefer, President and Chief Operating Officer, Morgan Stanley
Public Comment John K. Ritter, NAPFA Registered Financial Advisor, Ritter Daniher Financial Advisory, LLC, Cincinnati, Ohio
Public Comment John M. Scherer, CFP, Principal, Trinity Financial Planning, Madison, Wisconsin
Public Comment Kirk W. Francis, CEO, Cross Financial Services , San Antonio, Texas
Public Comment Kurt L. Hahn, Member of Financial Planning Association
Public Comment Lonna R. Weems, OSJ Manager, Tarzana, California
Public Comment Mark A. Kaprelian, Secretary, Northwestern Mutual Investment Services, LLC
Public Comment Mercer Bullard, Founder and President, Fund Democracy, Assistant Professor of Law University of Mississippi; Barbara Roper, Director of Investor Protection, Consumer Federation of America; Sally Greenberg, Senior Counsel, Consumers Union; and Ken McEldnowney, Executive Director, Consumer Action
Public Comment Michael J. Sharp, General Counsel, Smith Barney
Public Comment Paul L. Matecki, Senior Vice President, General Counsel, Raymond James & Associates, Inc. and Raymond James Financial Services, Inc.
Public Comment Paul S. Gottlieb, First Vice President and Assistant General Counsel, Private Client Counsel, Merrill Lynch, Pierce, Fenner & Smith Incorporated
Public Comment Randy Oldenburg, Camden Financial Management, Scottsdale, Arizona
Public Comment Rebekah A Hammerlund, CFP, Owner, Allison and Company Financial Counselors LLC, Milwaukee, Wisconsin
Public Comment Ronald C. Long, Senior Vice President, Regulatory Policy and Administration, Wachovia Securities, LLC
Public Comment Stephen A. Batman, Chief Executive Officer, 1st Global
Public Comment Steven D. Wightman, CFP, Wightman Financial Network, LLC, Lexington, Massachusetts
Public Comment Steven W. Stone, Partner, Morgan, Lewis & Bockius LLP
Public Comment Tamara K. Salmon, Senior Associate Counsel, Investment Company Institute
Public Comment Terry P. Welsh, CFP, ChFC, CLU, FPA, SFSP; and Jill Campbell, President; The Planners Network, Ketchikan, Alaska

Last Reviewed or Updated: Dec. 18, 2025

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