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 Christine A. Connor, CFP, Heath, Texas
Public Comment Chuck Henderson, Certified Financial Planner
Public Comment Clare M. Stenstrom, CFP, Financial Planning Association, New York, New York
Public Comment Daniel J. Mannen, Jr., CFP, CRPC, Senior Financial Advisor, American Express Financial Advisors
Public Comment David B. Mendels, financial planner, New York, New York
Public Comment David W. Demming, FPA, Aurora, Ohio
Public Comment David Walden, CFP, Lebanon, Tennessee
Public Comment Dennis J. Pramstaller, investor, Scotts Valley, California
Public Comment Dennis P. DAmore, CFP, DAmore Associates, an advisory branch of American Express Financial Advisors Inc., Laguna Hills, California
Public Comment Dennis P. Park, CFP, financial advisor, Discovery Bay, California
Public Comment Diane Sher, CPA, CFP, The Sher Group, Member: Financial Planning Association, American Institute of CPAs; St. Louis, Missouri
Public Comment Donald E. Whalen, National Association of Personal Financial Advisors, Alpharetta, Georgia
Public Comment Dorcas B. Walke, CFP, Richmond, Virginia
Public Comment Douglas Rice, Professor of Economics, Golden Gate University, San Francisco, California
Public Comment Eileen J. Trott, CFP, Financial Insights, Inc., Rochester, New York
Public Comment Elissa Buie, CFP, President, Financial Planning Group, Inc.
Public Comment Elizabeth W. Jetton, CFP, Financial Planning Association, Atlanta, Georgia
Public Comment Elton H. Bell, CFP, Palo Alto, California
Public Comment Eric R. Clarke, President, Orion Advisor Services, LLC, Omaha, Nebraska
Public Comment Eric Tashlein , Milford , Connecticut
Public Comment Frank M. Gleberman, CLU, CFP, Registered Representative, Jefferson Pilot Securities Corporation, Marina del Rey, California
Public Comment Frederic M. Rizzo, CFP, Financial Planning Association, Chicago, Illinois
Public Comment G. Clark
Public Comment Gary D. DeVicci, RIA BD owner, Voorhees, New Jersey
Public Comment Gary Silverman
Public Comment Gay Miezin, CFP, owner, The Miezin Group, Prospect Heights, Illinois
Public Comment Gene Balliett, National Association of Personal Financial Advisors, Winter Park, Florida
Public Comment Gerald Klosterboer, CFP, Zephyr Cove, Nevada
Public Comment Girish A. Patel, CFP, CLU, Schaumburg, Illinois
Public Comment Gregory P. Schill, CFP, Manhattan Beach, California

Last Reviewed or Updated: Dec. 18, 2025

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