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 Henry A. Tiedemann, CPA, AICPA, Wellesley Hills, Massachusetts
Public Comment Holly B. Carroccio, Certified Financial Planner, Dallas, Texas
Public Comment Hugh G. Wedegis, EA, CFP, CSA, CEO, Financial Directions, Inc., Norwich, Connecticut
Public Comment Hugh H. Parks, CFP, Memphis, Tennessee
Public Comment J. Jeffrey Lambert, Program Director UC Davis Personal Financial Planning Certificate Program, Sacramento, California
Public Comment Jack M. Firestone, President, Firestone Capital Management, Inc., Coral Gables, Florida
Public Comment James Corbeau, MBA, CFP, NAPFA, FPA, Aptos, California
Public Comment James Kibler, CFP, President, Eldridge Financial Planning, LLC, New York, New York
Public Comment James L. Kluender, Leavenworth, Kansas
Public Comment Jean C. Gannett, CFP, Registered Principal, Associated Securities, Corp., Lafayette, California
Public Comment Jeffrey T. Buckner, CFP, President, Plancorp, Inc., St. Louis, Missouri
Public Comment Jerry D. Nix, CFP, Financial Advisor, Registered Principal, American Express Financial Advisors, Clinton, Mississippi
Public Comment Jill Boynton, CFP, Newington, New Hampshire
Public Comment Jim Embleton, San Jose, California
Public Comment Joe A. Cook, Aptos, California
Public Comment John F. Hochschwender, CFP, Financial Planning Association
Public Comment John R. Nelson, CFP, Brookfield, Wisconsin
Public Comment John Rumbold, EA, personal financial planner
Public Comment John W. Doyle, CFA, FRM, Los Angeles Society of Financial Analysts, CFA Institute, Global Association of Risk Professionals, Oxnard, California
Public Comment Jon Brandes, Independent Registered Investment Adviser, Folsom, California
Public Comment Joseph D. Helms, CFP, Bothell, Washington
Public Comment Joseph G Descant, III, Certified Financial Planner, Alexandria, Louisiana
Public Comment Joseph J. Slafkosky, Aptos, California
Public Comment Joseph P. Williams, Jr., President, Williams Financial Consultants, Coral Springs , Florida
Public Comment Joseph R. Bonfiglio, CFP, CLU, EA, Holmdel, New Jersey
Public Comment Joshua Massey, investment advisor, Ipswich, Massachusetts
Public Comment Joyce E. Damozonio, software engineer, Cupertino
Public Comment Kalman J. Lester
Public Comment Kathleen Day, CFP, Miami, Florida
Public Comment Keith L. Haskell, Member of the FPA, Orlando, Florida

Last Reviewed or Updated: Dec. 18, 2025

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