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 Stephen N. Cheifetz, CPA, CFP, Director of Tax Preparation and Accounting Services, Wayne, Pennsylvania
Public Comment Susan A. Schreiner, Registered Investment Advisor, La Mesa San Diego, California
Public Comment Todd P. Clarke, Executive Vice President, CLS Investment Firm, LLC, Omaha, Nebraska
Public Comment Carol K. Lampe, CFP, Certified Financial Planner, Pittsburgh, Pennsylvania
Public Comment Charles S. Stoll, CPA, PFS, CFP, RIA, Boca Raton, Florida
Public Comment George Papadopoulos, CPA/PFS, CFP, Novi, Michigan
Public Comment Joseph R Taylor
Public Comment Kathleen M. Rehl, Certified Financial Planner, Land O'Lakes, Florida
Public Comment Krista Hughes, Maryland
Public Comment Paul W. Viscovich, graduate mechanical engineer, retired from Westinghouse, ASME, Longwood, Florida
Public Comment Bertram B. Unger, CFP, Adjunct, CFP Education program, Barry University, Director of the Gold Coast Financial Planning Association , Boca Raton, Florida
Public Comment J. Donald Larkin, CFP, Sun City, Arizona
Public Comment James L. Dayton, Niles, Michigan
Public Comment Ben D. Moses, Washington
Public Comment Carole L. Rowe, Retired R.N., Portola Valley, California
Public Comment Cornelia J. Rancatore, student, Certified Financial Planner Program at Boston University, Boston, Massachusetts
Public Comment Dallas W. Coffman, CLU, ChFC, EA, CFP, Proprietor and Registered Investment Adviser, Whitman Financial Services; Member, Financial Planning Association; Member, Boston Estate Planning Council; Member, NASD Board of Arbitrators; Branch Manager and Investment Adviser Representative, Linsco/Private Ledger; Wakefield, Massachusetts
Public Comment Dawn Heneberry, CTFA, CFP, Charlottesville, Virginia
Public Comment Douglas W. Gill, CFP, Dallas, Texas
Public Comment Erik G. Jensen, CFP, Palm Desert, California
Public Comment Geoffrey F. Boyer, CFP, CSA, President, Boyer Financial Group, Allentown, Pennsylvania
Public Comment George N. Luciani, CFP, FPA, Yardley, Pennsylvania
Public Comment Gerald Linstedt
Public Comment James H. Christie, CFP, President, Financial Planning Association of New Jersey, Mendham, New Jersey
Public Comment Mark F. Krivonak, CFP, ChFC, CLU, Financial Planning Association, Society of Financial Service Professionals, National Estate Planning Council, National Association of Insurance and Financial Advisors , Tampa, Florida
Public Comment Mike Paccioretti
Public Comment Paul E. Huber, Los Gatos, California
Public Comment Richard R. Hurth, CFP, Oak Lawn, Illinois
Public Comment Russell and Loretta Williamson, Barefoot Bay, Florida
Public Comment Walter S. Hosea, Winter Springs, Florida

Last Reviewed or Updated: Dec. 18, 2025

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