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 Ashwin K. Bhatt, CFP, H.D. Vest Investment Securities, Houston, Texas
Public Comment Barry Swaim, CFP, Personal Financial Advisor
Public Comment Brian R. Carlton, CFP, Lynchburg, Virginia
Public Comment Carl D. Goodin, Member, Financial Planning Association, Ballwin, Missouri
Public Comment Carolyn M. Wehmeyer, New Smyrna Beach, Florida
Public Comment Charles R. Brock, investor, Altamonte Springs, Florida
Public Comment Chris B. Reynolds, Certified Financial Planner, American Express Financial Advisors Inc., Norcross, Georgia
Public Comment Christopher N. Brown, Certified Financial Planning Licensee; Member, National Association of Personal Financial Advisors; Member, Financial Planning Association; Gaithersburg, Maryland
Public Comment Dale N. Thomas, Branch Manager, Geneos Wealth Management, Inc, Clearwater, Florida
Public Comment Daniel B. Moisand, CFP, Principal; Spraker, Fitzgerald, Tamayo Moisand, LLC, Financial Planning Association, Melbourne, Florida
Public Comment Danny L. Wehmeyer, New Smyrna Beach, Florida
Public Comment David S. Dondero, CFP, FPA, Alexandria , Virginia
Public Comment David Traylor
Public Comment David W. Cowles, CPA/CFP, San Francisco, California
Public Comment Dennis Eisenberg, United Staff Union Pension Committee Chair , CMFC, Pleasant Prairie, Wisconsin
Public Comment Douglas C. Kranz, Sr., Clayton Ocala, New York
Public Comment Eric Dunlap, Loan Officer, America One Finance, Lake Oswego, Oregon
Public Comment Geraldine G. Kent, Worthington, Ohio
Public Comment Giovanna F. Casey, MBA, Financial Planner, MetLife Financial Services, Waltham, Massachusetts
Public Comment James A. Holm, East Troy, Wisconsin
Public Comment James D. Hallett, CFP, ChFC, CLU, CDP, Hallett & Associates, P.S.
Public Comment James E. Wilson, CFP, owner, J.E. Wilson Advisors, LLC, Columbia, South Carolina
Public Comment Janet Tyler Johnson, Clifton Gunderson Financial Services, Madison, Wisconsin
Public Comment John LeBlanc, co-owner of Back Bay Financial Group, Boston, Massachusetts
Public Comment John Mezzasalma, Shrewsbury, New Jersey
Public Comment John R. Boyd, CFP, Registered Investment Adviser, FPA, Worcester, Massachusetts
Public Comment John Van Dyke, CFP, President, Argus, San Diego, California
Public Comment John W. Grey, CFP, CLU, IAR State Farm Investment Management Corp., Beaver Dam, Wisconsin
Public Comment John Williamson
Public Comment Joshua E. Self, Financial Planning Association, Raleigh, North Carolina

Last Reviewed or Updated: Dec. 18, 2025

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