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 Thomas M. Wargin, CFP, CFA, Vice President, Liberty Financial Group, Inc, Elm Grove, Wisconsin
Public Comment Timothy P. Pinnington, President and Chief Executive Officer, TD Waterhouse USA
Public Comment Vicki L. Lublin, Hartland, Wisconsin
Public Comment William Ennis
Public Comment Charles O'Connor, FPA, Torrance, California
Public Comment Glenn M. Pape, CFP, Board Chair and Sarah Ball Teslik, Chief Executive Officer, Certified Financial Planner Board of Standards, Inc.
Public Comment John D. Moore, Fremont, California
Public Comment John Dardis, Sr., Metairie, Louisiana
Public Comment Ronald S. Pearson, CFP, Owner, Beach Financial Advisory Service, Virginia Beach, Virginia
Public Comment Arthur F. von der Linden, CFP, Financial Planning Association, Lexington, Massachusetts
Public Comment Charles W. Dolci, Owner, CWD Consulting, Inc., Plantation, Florida
Public Comment Diane F. Miller, Miller Financial Planning, Somerville, Massachusetts
Public Comment Joe LeBlanc, CFP, Member Financial Planning Association, San Diego, California
Public Comment Jonathan Marc Miran, Centennial
Public Comment Michael P. Haubrich, CFP, NAPFA and FPA, Racine, Wisconsin
Public Comment Raj Pillai, Ph.D., CFP, NAPFA, Solon, Ohio
Public Comment Roy L. Komack, President, Family Financial Architects, Inc., Natick, Massachusetts
Public Comment Scott Grittinger, CFP, McCarthy Grittinger Financial Group LLC, Milwaukee, Wisconsin
Public Comment Adam J. Leavitt, CFP
Public Comment Al Van Kampen
Public Comment Anthony Chara, concerned citizen, Aurora, Colorado
Public Comment Betty J. Custer, CFP, Madison, Wisconsin
Public Comment Carrie Arsenault
Public Comment D. Detwiler, business manager
Public Comment Donald B. Trone, AIFA, President, Foundation for Fiduciary Studies
Public Comment Duffy G. Elliott, Sr., CPA, FPA, Georgia Society of CPAs, Atlanta, Georgia
Public Comment Eric D. Bruck, CFP, Senior Consultant, Allied Consulting Group, Los Angeles, California
Public Comment Gerald R. Weiss, CFP, NAPFA, FPA, Reno, Nevada
Public Comment Glenn A. Bishop, President, GA Bishop and Associates, LLC, Carrollton, Texas
Public Comment Howard E. Singer, RIA

Last Reviewed or Updated: Dec. 18, 2025

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