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 Alan L. Norris, CFP, President, Phoenix Chapter of the Financial Planning Association, Phoenix, Arizona
Public Comment Alix-Marie Hall, MBA, CFP, Independent Financial Advisor, Sanders Smith Miller & Jordan, Tarrytown, New York
Public Comment Ann S. Harrod, CFP, RIA , self-employed fee compensated representative, Keswick, Virginia
Public Comment Barry H. Kaplan, DDS, CFP, Marietta, Georgia
Public Comment Barry Katz, NAPFA, Sunrise, Florida
Public Comment Bedda J. Emous, CFP, Managing Director, Fiduciary Solutions, LLC, North Andover, Massachusetts
Public Comment Bernie Schrilla
Public Comment Bhaj Townsend, Redmond, Washington
Public Comment Brian C. Keating, CFP, Essex, Massachusetts
Public Comment Bruce E. Nearhood, CFP, Financial Planning Association, Rapid City, South Dakota
Public Comment Bruce R. Heling, CFP, CPA, President, Heling Associates, Inc, Brookfield, Wisconsin
Public Comment Charles Simon, MS, President, Taconic Advisors, Inc., Poughkeepsie, New York
Public Comment Christopher R. DePaoli, Quincy, Massachusetts
Public Comment Da Salz
Public Comment David E. Feagans, retired mechanical engineer, Mercersburg, Pennsylvania
Public Comment David Halfaker, CFP, Sole Practioner, Tampa, Florida
Public Comment David J. Conners, Electrician, San Jose, California
Public Comment David L. Maurice, CFP, Owner/Partner, WealthWise, Inc.; Professional Member, FPA, Greeneville, Tennessee
Public Comment David Lesnick, Certified Financial Planner, Goodyear, Arizona
Public Comment David Wilder, CFP, NAPFA, Cincinnati, Ohio
Public Comment Dolores C. Faughnan, Melbourne Beach, Florida
Public Comment Donna Weniger, SJ, California
Public Comment Douglas E. Taylor, CFP, CPA, AICPA, FPA, Redondo Beach, California
Public Comment Douglas W. DeGain, CFP, RIA, fee-only comprehensive personal financial planner, sole proprietor, Rochester Hills, Michigan
Public Comment Duffy G. Elliott, Sr., Georgia Society of CPAs, Financial Planning Association, Atlanta, Georgia
Public Comment Felicia Gopaul, CFP, New Jersey
Public Comment Gale C. Johnston, CFP, Financial Advisor, AFP Advisory Services, Inc., Los Angeles, California
Public Comment George H. Faughnan, Melbourne Beach, Florida
Public Comment Jack J. Keesing, Software Consultant, Melbourne, Florida
Public Comment James D. Sikes

Last Reviewed or Updated: Dec. 18, 2025

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