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 Afolabi C. Odejimi, Phoenix, Arizona
Public Comment Alan C. Hruby, Esquire, Principal, Hruby Financial Planning, Woodridge, Illinois
Public Comment Alan Ken Flake, CFP, Houston, Texas
Public Comment Allan W. Moskowitz, CFP, President, Progressive Wealth Management, San Lorenzo, California
Public Comment Alvin W. Gebhart, Jr., Fallbrook, California
Public Comment Andrea Failla
Public Comment Andrew Arbiter, CPA, Member: Financial Planning Association, Registered Representative, Massapequa, New York
Public Comment Angela B. Rateau, Richmond, Virginia
Public Comment Angeline Liackos, Lilburn, Georgia
Public Comment Anthony J. Ogorek, Ed.D., CFP, Operating Manager, Ogorek Wealth Management, LLC, Williamsville, New York
Public Comment Armand D. Vine, Ph.D., Redding, California
Public Comment Arthur E. Molloy, CFA, CFP, President, Capital Growth, Inc., San Diego, California
Public Comment Arthur F. von der Linden, Registered Investment Adviser Representative, Lexington, Massachusetts
Public Comment Arthur J. Canter, CPA/PFS, CFP, Boca Raton, Florida
Public Comment Arthur L. Ringuette, The Financial Planning Association, Fort Lauderdale, Florida
Public Comment Austin W. Chinn, independent sales representative / individual investor, San Jose, California
Public Comment Barry M. Freedman, CFP, Registered Investment Advisor, Investment Advisor Representative, Series 7 and Series 24 Registered Principal, Peabody, Massachusetts
Public Comment Bill Weihman, Gilroy, California
Public Comment Brian Dietz, Financial Planning Association, CFA Institute, Portland, Maine
Public Comment Brian W. Albig, CFP, owner, Albig Associates Investment Management, Greensburg, Pennsylvania
Public Comment Bruce A. Jentner, President, The Jentner Corporation, Akron, Ohio
Public Comment Bruce D. Vaughn, CFP, Branch Manager, Financial Network Investment Corporation, Vienna, Virginia
Public Comment Calvin R. Dillon, President; Collins, Butler Co. CPAs, Enid, Oklahoma
Public Comment Carl A. Johnson, Financial Planning, Peterborough, New Hampshire
Public Comment Carl J. Kunhardt, investment advisor, Dallas, Texas
Public Comment Carol G. Kaufman, CFP, Vice President and Principal, Firestone Capital Management, Inc., Coral Gables, Florida
Public Comment Carol M. Fantazia, Certified Financial PLanner, Turlock, California
Public Comment Charles D. White, FPA, Schaumburg, Illinois
Public Comment Charles J. Barley, CLU, CHFC , CSA, President, Capital Planning Institute, New Jersey
Public Comment Chris S. Dunfey, Operations Manager, PSE LLC, Rochester, New York

Last Reviewed or Updated: Dec. 18, 2025

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