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 Cheryl Carrington, CFP, West Windsor, New Jersey
Public Comment D. Randolph Waesche, CFP, President, Resource Management, Inc.
Public Comment Daniel W. Foley, CFP, CEO, Sleeping Giant Financial Services, LLC, Steamboat Springs , Colorado
Public Comment Edward M. Stuart, CFP, Chatham, New Jersey
Public Comment Gordon W. Elder, CFP, Lancaster, California
Public Comment John Kaiser, FPA, Salt Lake City, Utah
Public Comment John R. Goodrich, Tamuning, Guam
Public Comment Michael Borowski, CPA, CFP, FPA, NJSCPA, AICPA
Public Comment W. Don Brown, CFP, Randolph, New Jersey
Public Comment Carol L. Fishburn, CFP, Brentwood Advisory Group, LLC, Los Angeles, California
Public Comment David A. Lazear, independent financial planner, San Diego, California
Public Comment Harold G. Richardson, CPA, Member of FPA, CFP, AICPA, Winchester, Massachusetts
Public Comment Helen L. Modly, CFP, Focus Financial Consultants, Middleburg, Virginia
Public Comment J. Charles Dunham, Birmingham, Alabama
Public Comment John K. Ritter, CFP, CFS, NAPFA Registered Financial Advisor, Cincinnati, Ohio
Public Comment Kelly F. Crane, CFA, Napa Valley Wealth Management, St. Helena, California
Public Comment Richard K. Schroeder, CFP, Executive Vice President, Schroeder, Braxton Vogt Inc., Amherst, New York
Public Comment Thomas P. Carroll, CFP, owner, fee-only financial planning firm, Cincinnati, Ohio
Public Comment Troy E. Jones, CFP, Financial Planning Association, Oklahoma City, Oklahoma
Public Comment Christopher Dalto, Principal, Delessert Financial Services, Waltham, Massachusetts
Public Comment Craig Martin, President, Family Wealth Consultants, Inc., San Jose, California
Public Comment Donald L. Miller, Managing Member, D.L. Miller Financial Services, L.L.C., New Braunfels, Texas
Public Comment James E. Pearman, Jr., Fee-Only Financial Planning, LC, Roanoke, Virginia
Public Comment James R. Naylor, Jr., Certified Financial Planner, Lewistown, Pennsylvania
Public Comment Jeffrey Golden
Public Comment John J. McDonough, Pittsburgh, Pennsylvania
Public Comment John Ruzza, CFP, Financial Planning Association, Portage, Michigan
Public Comment John Walsh, IT project manager, San Jose, California
Public Comment Maura V.H. Murphy, fee-only financial planner, Ashland, Oregon
Public Comment Michael Olsen

Last Reviewed or Updated: Dec. 18, 2025

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