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

Filter comments

Date Received
Date Letter Type Commenter Name
Public Comment Kelly S. Olson, CFP, Wealth Management, Bloomington, Minnesota
Public Comment Lawrence G. Boyles, President, Retirement Specialists Incorporated, Houston, Texas
Public Comment Lawrence M. Tomczak, Registered Representative, MML Investors Services Inc., Maumee, Ohio
Public Comment Margaret C. Smith, Tualatin, Oregon
Public Comment Marge Coyle, CFP, Edina, Minnesota
Public Comment Mark W. Feucht, CFP, EA, Fond du Lac, Wisconsin
Public Comment Mary D. Christensen, Certified Financial Planner, Portland, Oregon
Public Comment Mary Doll, Certified Financial Planner Licensee, Santa Paula, California
Public Comment Michael J. Fischer, CFP, Vice President, Benchmark Financial, Ltd., Phoenix, Arizona
Public Comment Michael S. Knight , Certified Financial Planning Practitioner, Knight Investment Planning, Libertyville, Illinois
Public Comment Milo M. Benningfield, J.D., San Francisco, California
Public Comment Mitchell B. Goldberg, Esq., NASD Arbitrator, Northfield, Ohio
Public Comment Peggy S. Cabaniss, CFP, NAPFA, FPA, Orinda, California
Public Comment Phillip Q. Couture, CFP, Sarasota, Florida
Public Comment Richard H. Bauzenberger, CFP, Principal, LakeShore Investment Management, Mequon, Wisconsin
Public Comment Robert A. Catton, MBA, CFP, Certified Financial Planner, Federal Way, Washington
Public Comment Robert M. Frey, MS, CFP, President, Professional Financial Management, Bozeman, Montana
Public Comment Robert M. Huntley, retired, formerly self employed retailer, Ipswich, Massachusetts
Public Comment Roger A. Hubley, Marco Island, Florida
Public Comment Ronald Sussman, securities principal, Cherry Hill, New Jersey
Public Comment Savvas D. Giannakopoulos, CFP, MBA, EA, Adjunct Lecturer, Corporate Finance, University of Michigan, Enrolled Agent with IRS, Ann Arbor, Michigan
Public Comment Susan J. Travis, CFP, CTFA, Vice President and Trust Officer, Kanaly Trust Company, Houston, Texas
Public Comment Terrie A. Zitzelsberger, Mt. Pleasant, Michigan
Public Comment Thomas E. Couch, CFP, Ligonier, Pennsylvania
Public Comment Vicki G. McGrew, CFP, Financial Planning Association, Leawood, Kansas
Public Comment Virginia M. Terrell, Certified Financial Planner, Cumming, Georgia
Public Comment Wayne Cassaday, Financial Planner, Professor of Finance, Charleston, South Carolina
Public Comment William R. Neubauer, Certified Financial Planner and Registered Investment Advisor, Coral Gables, Florida
Public Comment William S. Bivin, CFP, President, Bivin Associates, Inc., Ponca City, Oklahoma
Public Comment William T. Mullen, CFP, CSA, Park City, Utah

Last Reviewed or Updated: Dec. 18, 2025

File Number
S7-25-99
Release Number
34-42099
IA-1845
How to submit comments