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 Roy F. Henderson, Analyst, Hoxton Financial, LLC, Shepherdstown, West Virginia
Public Comment Roy L. Russell, CFP, Douglassville, Pennsylvania
Public Comment Roy T. Diliberto, CFP, Philadelphia, Pennsylvania
Public Comment Salvatore P. Miceli, NAPFA, FPA, Denver, Colorado
Public Comment Sam Ogrizovich, CFP, Certified Financial Planner, Orland Park, Illinois
Public Comment Sammy L. Gott, San Antonio, Texas
Public Comment Scott Bridgford, Cambridge Investment Research, East Moline, Illinois
Public Comment Scott Houser, CFP, Atlanta, Georgia
Public Comment Stan Johnson, Durango, Colorado
Public Comment Stanley E. Hargrave, CFP, University of California-Riverside, Financial Planning Association, Riverside, California
Public Comment Stanleyu Lanning, Los Gatos, California
Public Comment Stephanie Enright, MS, CFP, Torrance, California
Public Comment Stephen N. Liackos, Lilburn, Georgia
Public Comment Steve Schwartz, CFP, Centralia, Illinois
Public Comment Steven B. Morris, CPA; owner, Steven B. Morris, CPA; Financial Planning Association, American Institute of CPAs, Norcross, Georgia
Public Comment Steven C. Shaw, San Jose, California
Public Comment Steven M. Kersey, CFP, ChfC, CLU, Financial Planning Association Member, Oak Harbor, Washington
Public Comment Steven P. Copeland, CFP, independent financial advisor, Hastings on Hudson, New York
Public Comment Terry L. Kaul, CFP, Financial Planning Association, Registered Representative, Arlington Heights, Illinois
Public Comment Theodore L. Noble, Director of Finance and Operations, Sherrill Hutchins Financial Advisory, Atlanta, Georgia
Public Comment Thomas G. Gaertner, CFP, Brookfield, Wisconsin
Public Comment Thomas Snively, Financial Planner, Paragon Capital Management, Smithtown, New York
Public Comment Tim Whiting, Ridgewood, New Jersey
Public Comment Timothy J. Gardner, CFP, Certified Financial Planner, Turnersville, New Jersey
Public Comment Todd Chamberlain, CPA
Public Comment Tony Proctor, CFP
Public Comment Val Folden, MS, CFP, FPA, Fredericksburg, Virginia
Public Comment W. Doug ORear, Brentwood, Tennessee
Public Comment Walter J. Reyna, CFP, McAllen, Texas
Public Comment Walter R. Sagner, CFP, Salem, Oregon

Last Reviewed or Updated: Dec. 18, 2025

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