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. 7, 2004	Public Comment	Erik Johnson
Sept. 7, 2004	Public Comment	George M. Livingston, III, Santa Rosa Beach, Florida
Sept. 7, 2004	Public Comment	Georgette Frazer, CPA/PFS, CFP,AIF, B/D Financial West Group, First Affirmative Financial Network, Progressive Asset Management, Marshfield, Wisconsin
Sept. 7, 2004	Public Comment	Glenn M. Kenney
Sept. 7, 2004	Public Comment	Henry E. Zapissek, CFP, San Diego, California
Sept. 7, 2004	Public Comment	J. Michael Fay, CFP, CEO, Claremont Financial Group, Inc., Claremont, California
Sept. 7, 2004	Public Comment	James W. Heard, CFP, FPA NAPFA, Atlanta, Georgia
Sept. 7, 2004	Public Comment	Jason B. Beene, CFP, Financial Planning Association, Monmouth Beach, New Jersey
Sept. 7, 2004	Public Comment	Jay L. Gershman, Financial Planning Association, Glastonbury, Connecticut
Sept. 7, 2004	Public Comment	Jeffrey E. Daniher, Ritter Daniher Financial Advisory, Cincinnati, Ohio
Sept. 7, 2004	Public Comment	John Bird, President, Albion Financial Group, Salt Lake City, Utah
Sept. 7, 2004	Public Comment	John H. Biebel, Esq., CFP, Tanager Financial Services Inc., Waltham, Massachusetts
Sept. 7, 2004	Public Comment	Kathleen L. Cotton, Certified Financial Planner, Cotton Financial Advisors, Inc., Lynnwood, Washington
Sept. 7, 2004	Public Comment	Keith Merson, Cool, California
Sept. 7, 2004	Public Comment	Kelly A. Christensen, President, Sage Financial Advisors Inc., Phoenix, Arizona
Sept. 7, 2004	Public Comment	Kris C. Dwyer, Financial Advisor, Financial Network Corporation
Sept. 7, 2004	Public Comment	Lauri A. Christiansen, MBA, Manager of Product Information Services, Kings Park, New York
Sept. 7, 2004	Public Comment	Loretta H. Davis, Registered Representative, Los Alamitos, California
Sept. 7, 2004	Public Comment	Misty L. Marlowe, Little Silver, New Jersey
Sept. 7, 2004	Public Comment	Mitchell F. Keil, CFP, FPA, Fountain Valley, California
Sept. 7, 2004	Public Comment	Nancy Scanlan, DVM, MSFP, Sherman Oaks, California
Sept. 7, 2004	Public Comment	Nicholas R. Noviello, CFP, Financial Planning Association
Sept. 7, 2004	Public Comment	Paul R. Pignone, CFP, CLU, ChFC, AIF, NAPFA, Boston Retirement Advisors, LLC, Salem, New Hampshire
Sept. 7, 2004	Public Comment	Raj P. Pillai, Ph.D., CFP, Program Director, CFP-Board Registered Program, Cuyahoga Community College, Cleveland, Ohio
Sept. 7, 2004	Public Comment	Richard A. Johnson, Rick Johnson Family Office, LLC, Jacksonville, Florida
Sept. 7, 2004	Public Comment	Roger Harmon
Sept. 7, 2004	Public Comment	Ross D. Pauley, MBA, CFP, CSA, BCI, President, Pauley Financial Services, Inc., Austin, Texas
Sept. 7, 2004	Public Comment	Russ C. Rauhauser, Boulder, Colorado
Sept. 7, 2004	Public Comment	Samuel P. Hull, CFP, Northstar Financial Planning, Inc., Windham, New Hampshire
Sept. 7, 2004	Public Comment	Scott Logan, Oklahoma City, Oklahoma

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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