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 James F. Ludwick, President, MainStreet Financial Planning, Inc., Odenton, Maryland
Public Comment James T. Brass, Financial Planning Association, St. Paul , Minnesota
Public Comment Jennifer Jewett, Phoenix, Arizona
Public Comment John C. Brown, President, Brown Brown Financial Services, Inc., Dallas, Texas
Public Comment John Mannen, CFP, Cleveland, Ohio
Public Comment John P. Severy-Hoven, FPA, St. Paul, Minnesota
Public Comment John R. Verville, CFP, Clearwater, Florida
Public Comment Karen F. Folk, Ph.D., CFP, Certified Financial Planner, Urbana, Illinois
Public Comment Lawrence H. Friedrichs, CPA, CFP, AICPA, FPA, ASCPA, Alliance of Cambridge Advisors, Mesa, Arizona
Public Comment Linda Kuhn
Public Comment Lorene C. Austin, Orlando, Florida
Public Comment Mark Stempel, CFP, Tucson, Arizona
Public Comment Martin D. Rosman, Merritt Island, Florida
Public Comment Michael P. Haubrich, Certified Financial Planner, Racine, Wisconsin
Public Comment Michael W. Miller, Principal, PlanFIRST, Inc., Greenville, South Carolina
Public Comment Myles J. Crowe, CPA, CFP, The Foundry Financial Group, Inc., Jackson, New Hampshire
Public Comment Robert A. Gordon, President, Robert Gordon Associates, Inc.; Member, Financial Planning Association; Springfield, Illinois
Public Comment Robert E. Maloney, MSFS, National Asociation of Financial Advisors, NAPFA, Annapolis, Maryland
Public Comment Robert J. Cole, Jr., CLU, ChFC, CFP, Louisville, Kentucky
Public Comment Robert V.P. Brauner, Sr., Oakland, Florida
Public Comment Roger S. Asel, CFP, CPA, PFS, Dallas, Texas
Public Comment Roy L. Komack, Certified Financial Planner, Natick, Massachusetts
Public Comment Roy L. Komack, Natick, Massachusetts
Public Comment Roy M. Fortner, CFP, Kansas City, Missouri
Public Comment Scott Leverenz, CRPC, The Financial Resource Group
Public Comment Sharon Fricke, Longwood, Florida
Public Comment Susan J. Veligor, Portland, Maine
Public Comment Terry Gustafson, CFP, NAPFA, Oceanside, California
Public Comment William D. Bailey, Jr., EA, CFP, Professional Finanical Advisors / NAEA, Tucker, Georgia
Public Comment William E. Austin, Orlando, Florida

Last Reviewed or Updated: Dec. 18, 2025

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