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 Sally L. Gries, CFP, President and CEO of Gries Financial LLC, Cleveland, Ohio
Public Comment Susan Strasbaugh, CFP, EA, Colorado Springs, Colorado
Public Comment William C. Cuthbertson, Jr., MBA, CFP, San Juan Capistrano, California
Public Comment Brian Shea, CFP, New Canaan, Connecticut
Public Comment Carol V. Berman, investment advisor, Cambridge, Massachusetts
Public Comment Christine M. Dodge, Ocoee, Florida
Public Comment Christopher D. Rich, CFP, Managing Member, RMR Financial Advisors LLC, Madison, Wisconsin
Public Comment Craig L. Miller, CFP, AEP, Austin, Texas
Public Comment Daryl G. Graham, CPA,CFP, Financial Planning Association, Orlando, Florida
Public Comment Debra A. Miller, Gold River, California
Public Comment Gerald E. Gasber, CFP, Financial Planning Association, National Association of Personal Financial Advisors, Gold River, California
Public Comment Jeffrey B. Broadhurst, MBA, President, Broadhurst Financial Advisors, Inc., Harleysville, Pennsylvania
Public Comment John J. Hurford, Jr., The Advisory Group, San Francisco, California
Public Comment John R. Power, CFP, Member, FPA, Walpole, Massachusetts
Public Comment Jonathan Yi, Financial Planning Association, Huntingdon Valley, Pennsylvania
Public Comment Karen M. Schultheis, San Mateo, California
Public Comment Karen Yeackel, Gold River, California
Public Comment Kimberly A. Hankins, Financial Planning Association, Monterey, California
Public Comment Lynne T. Nahigyan, CFP, NAPFA, FPA, Mattapoisett, Massachusetts
Public Comment Mark McAuley, CFP, Senior Regional Director, Kansas City, Missouri
Public Comment P. Frank Castellon, CFP, CEO, Comprehensive Investment Solutions, LLC, Yardley, Pennsylvania
Public Comment Penny Marchand, CFP, EA, owner, Cambridge Financial Group, Tucson, Arizona
Public Comment Phyllis L. Rundquist, Gold River, California
Public Comment R. Young, CFA
Public Comment Rebecca R. Preston, CFP, EA, Providence, Rhode Island
Public Comment Robert S. Farnell, financial planner, Boulder, Colorado
Public Comment Ron A. Rhoades, Chief Compliance Officer, Director of Research, Joseph Capital Management, LLC
Public Comment Ronald S. Pearson, CFP, Virginia Beach, Virginia
Public Comment Sandra L. Bragar, CFP, Principal, Kochis Fitz, San Francisco, California
Public Comment Sophie Kaluziak, CPA, President, Vista Financial Planning, Oak Park, Illinois

Last Reviewed or Updated: Dec. 18, 2025

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