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. 10, 2004	Public Comment	Jesse W. Crocker, Houston, Texas
Sept. 10, 2004	Public Comment	Joann Cox, Inverness, Florida
Sept. 10, 2004	Public Comment	John Knolhoff
Sept. 10, 2004	Public Comment	Joseph M. D'Ambrosio, CFP, Partner; Lewis, McBeth & D'Ambrosio, LLP
Sept. 10, 2004	Public Comment	Karen R. Blodgett, San Francisco, California
Sept. 10, 2004	Public Comment	Karl Smith
Sept. 10, 2004	Public Comment	Lesley J. Brey, CFA, CFP, President, L.J. Brey, Inc., Honolulu, Hawaii
Sept. 10, 2004	Public Comment	Mark Carlson, MBA, MS, BS, BA
Sept. 10, 2004	Public Comment	Mark Willoughby, CFP, CFA
Sept. 10, 2004	Public Comment	Michael Reilly
Sept. 10, 2004	Public Comment	Mike Carroll
Sept. 10, 2004	Public Comment	Pamela Krizay
Sept. 10, 2004	Public Comment	Patricia A. Musachio, Lake In The Hills, Illinois
Sept. 10, 2004	Public Comment	Penny Considine
Sept. 10, 2004	Public Comment	Phyllis Harmon, LeTort Management & Trust Company, Camp Hill, Pennsylvainia
Sept. 10, 2004	Public Comment	Randy Oldenburg, CFP, Camden Financial Management, Scottsdale, Arizona
Sept. 10, 2004	Public Comment	Robert M. Pennell, BS, MBA, RIA, Partner in Appropriate Balance Financial Services, Bellevue, Washington
Sept. 10, 2004	Public Comment	Ryan Darwish
Sept. 10, 2004	Public Comment	Scott Bailey
Sept. 10, 2004	Public Comment	Thomas G. McHale
Sept. 10, 2004	Public Comment	Timothy M. Montague, CPA, CFP, MT, FPA, AICPA, Columbus, Ohio
Sept. 10, 2004	Public Comment	Wanda Cooper
Sept. 10, 2004	Public Comment	William Bartel, individual investor
Sept. 10, 2004	Public Comment	William R. Anderson, Chief Compliance Officer and Portfolio Manager, The Proper Analysis Corporation
Sept. 9, 2004	Public Comment	Douglas Wells, Salt Lake City, Utah
Sept. 9, 2004	Public Comment	Gay Abarbanell, CFP, CSA, National Planning Corp., FPA Los Angeles, Culver City, California
Sept. 9, 2004	Public Comment	Howard A. Townsend, CFP, Bonsall, California
Sept. 9, 2004	Public Comment	Nancy J. Johnson, CFR, Compliance Coach, Strategic Compliance Concepts, Ltd
Sept. 9, 2004	Public Comment	Norma Finkner, Certified Financial Planner, Annapolis, Maryland
Sept. 9, 2004	Public Comment	Peter T. Palion, CFP, President, Master Plan Advisory, Inc., East Meadow, New York

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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