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 Steven A. Sant, Certified Financial Planner, Lynnwood, Washington
Public Comment Susan B. Stoller, Newark, Delaware
Public Comment Susan G. Freed, CFP, President, Susan Freed & Associates, Inc.
Public Comment Thomas C. Grzymala, CFP, AIFA, Principal, Forensic Analytics LLC, Keswick, Virgin Islands
Public Comment Thomas M. Wargin, CFP, CFA, Elm Grove, Wisconsin
Public Comment Timothy L. Rowland, CFP, Scottsdale, Arizona
Public Comment William Durand, CFP, Stamford, Connecticut
Public Comment Barbara Culver, CFP, Cincinnati, Ohio
Public Comment Gladys M. Christiansen, R.N., Huntington Station, New York
Public Comment K. Esther Szabo, CFP, Los Altos, California
Public Comment Marc Scudillo, CPA
Public Comment Nicki Pittman, Mendocino, California
Public Comment Robert Veres, financial consumer, journalist in the financial services field, Mars Hill, North Carolina
Public Comment Vivek Nadkarni, electrical engineer, Sunnyvale, California
Public Comment Kathryn L. Berrada, word processor, Legend Financial Advisors, Inc., Pittsburgh, Pennsylvania
Public Comment Bradley W. Case, CFP, St. Petersburg, Florida
Public Comment Diane M. Pearson, CFP, Director of Financial Planning, Legend Financial Advisors, Inc., Pittsburgh, Pennsylvania
Public Comment Kimberly Sterling, Orlando, Florida
Public Comment Robert J. Love, CFP CE Exempt, Financial Planning Association, Little Egg Harbor, New Jersey
Public Comment Thomas A. Muldowney, Investment Advisor - RIA, Rockford, Illinois
Public Comment Arthur E. Oberlin, Jr.
Public Comment Charles E. Foster, II, CFP, CFA, Partner, Blankinship Foster, Del Mar, California
Public Comment Jane V. Slama, New Jersey
Public Comment Jeannette M. Soby, Member, California State Oriental Medical Association, San Jose, California
Public Comment Jeremy J. Hudson, CFP, Little Silver, New Jersey
Public Comment Lucas R. Carey, Little Silver, New Jersey
Public Comment Mary A. Gardner, San Francisco, California
Public Comment Robert A. Harclerode, ChFC, President, Stonebridge Capital Management, West Caldwell, New Jersey
Public Comment Bernard M. Kiely, CFP/CPA, FPA, AICPA NAPFA, Kiely Capital Management, Inc., Morristown, New Jersey
Public Comment Brian H. Breuel, JD, CLU, ChFC, CFP, CLU, ChFC, MSM, MSFS, FPA, SFSP, Princeton, New Jersey

Last Reviewed or Updated: Dec. 18, 2025

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