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 Michael W. Vandenburg, President, Coast Wealth Management, Inc., San Clemente, California
Public Comment Mike Salisbury, San Jose, California
Public Comment Nancy J. Bernaldo, CFP, EA, owner, Nancy J. Bernaldo, CFP, EA, Monterey, California
Public Comment Naryanan Ramasamy, Ph.D., individual investor, Palo Alto, California
Public Comment Norman M. Boone, President, Boone Financial Advisors, San Francisco, California
Public Comment Pamela A. Christensen, CFP, Roseville, California
Public Comment Pamela L. Meier, San Jose, California
Public Comment Pamela M. Nottingham, CFA, CFP, Vice President - Investments, A.G. Edwards, Peabody, Massachusetts
Public Comment Patricia J. Garman, President, Capital Planning Investments, Inc., Fairfax, Virginia
Public Comment Peter Toll, Chairman of the Board, Financial Planning Assn. of OR SW WA, Portland, Oregon
Public Comment Phil Vick, MBA, CFP, National Association of Financial Estate Planners, Salt Lake City, Utah
Public Comment Phillip A. Rademacher, CFP, President, Rademacher Financial, Inc., Lawrence, Kansas
Public Comment Phillip M. Boyd, Investment Adviser Representative, El Paso, Texas
Public Comment Randy Gerard, CFP, CDFA, Financial Planning Assoc., Institute of Divorce Financial Analysts, Leawood, Kansas
Public Comment Richard A. Heine, CFP, Certified Financial Planner practitioner, Adjunct Faculty, Pace University, Armonk, New York
Public Comment Richard Dayton, attorney, estate planning, San Jose, California
Public Comment Richard Joyner, financial advisor, Dallas, Texas
Public Comment Richard W. Kagawa, CFP, CLU, ChFC, Huntington Beach, California
Public Comment Rick A. Sany, Portland, Oregon
Public Comment Rick N. Hill, Financial Planning Association, St. Louis, Missouri
Public Comment Robert A. Meier, San Jose, California
Public Comment Robert B. Himebaugh, owner, Himebaugh Financial Planning Services, Holland, Michigan
Public Comment Robert M. Smith, CFP, Certified Financial Planning Professional, Canonsburg, Pennsylvania
Public Comment Robert S. Seltzer, CPA, Beverly Hills, California
Public Comment Robert Thomas, President and CEO, Vantage Investment Advisors, LLC, State College, Pennsylvania
Public Comment Robert Weber, FPA, Duluth, Georgia
Public Comment Ronald A. Guiler, EA, CFP, RIA, , Miami, Florida
Public Comment Ronald E. Evans, Member, Hopkins Financial Advisors, LLC, Hopkins, Minnesota
Public Comment Ronald G. Simmer, Registered Investment Advisor, Simmer Financial Planning, LLC, Ferndale, Washington
Public Comment Ronald S. Colson, President, Colson Financial Group, Inc., Lakewood, Colorado

Last Reviewed or Updated: Dec. 18, 2025

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