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 Ken G. Secemski, CPA, CFP, Teaneck, New Jersey
Public Comment Kevin Caddick, CFP, ChFC, Woodbury, New York
Public Comment Kristi J. Heffron, Chief Compliance Officer, Green Investment Management, GIM, Fort Worth, Texas
Public Comment Lance Palmer, Ph.D., CPA Utah, Assistant Professor of Housing and Consumer Economics, University of Georgia, Athens, Georgia
Public Comment Leslie A. Strebel, Financial Planning Association, Ithaca, New York
Public Comment Leslie R. Merrithew, CFP, NAPFA, NAEA, San Diego, California
Public Comment Lonnie D. McLane, CSA, Certified Senior Advisor, Registered Finanical Consultant, Lapeer, Michigan
Public Comment Lydia J. Kolbas, President, Family Financial Strategies, Inc.; Financial Planning Association, Million Dollar Round Table, Sarasota, Florida
Public Comment Lyle T. Leverich, VP Engineering, Saratoga, California
Public Comment Lynn S. Evans, CFP, Financial Planning Association, Clarks Summit, Pennsylvania
Public Comment Marc Frost, Master of Taxation, Georgia State University, Atlanta, Georgia
Public Comment Marcee P. Yager, CFP, President, Financial Vision LLC, Los Gatos, California
Public Comment Margaret Davidson, Mountain View, California
Public Comment Mari Adam, CFP, MBA, CRPC, Boca Raton, Florida
Public Comment Marie Couch, San Jose, California
Public Comment Marilyn E. Pierson, CFP, Cleveland, Ohio
Public Comment Mark DeWitt, President of Atherton Wealth Management, Inc., Menlo Park, California
Public Comment Mark G. Finke, CFP, Terra Securities Corp, St. Louis, Missouri
Public Comment Mark J. Siekierski, CFP, ChFC, CRPC , Principal, Blue Chip Financial Planning, LLC , Beloit, Wisconsin
Public Comment Mark L. Prendergast, CPA, Beechwood Advisory Group LLC, Fresno, California
Public Comment Mark Sievers, President, Epsilon Financial Group
Public Comment Mary Jane Johnson, Certified Financial Planner Professional, Horwitz Associates, Morton, Illinois
Public Comment Mary Shefveland, Contract Manager, Cisco Systems, Inc., San Jose, California
Public Comment Matthew Agen, Arlington, Massachusetts
Public Comment Matthew J. Fannin, ChFC, Petaluma, California
Public Comment Michael B Horwitz, Ph.D., CFP, fee only financial planner, RIA, FPA/NAPFA Member, Austin, Texas
Public Comment Michael D. Noland, CFP, Board Member, Financial Planning Association of Georgia, Atlanta, Georgia
Public Comment Michael E. Kitces, MSFS, CFP, CLU, ChFC, RHU, REBC, Director of Financial Planning, Columbia, Maryland
Public Comment Michael E. Moffitt, ChFC, Creston, Iowa
Public Comment Michael J. Cajthaml, CFP, President, McHenry County Investment Services, Inc., McHenry, Illinois

Last Reviewed or Updated: Dec. 18, 2025

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