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 William J. Kring, Certified Financial Planner Professional, President, Kring Management, Inc., Smyrna, Georgia
Public Comment William Lynch, Belmont, California
Public Comment William R. Glock, FPA, Greenlawn, New York
Public Comment William S. Hart, CFP, Financial Advisor, Jacksonville, Florida
Public Comment William T. Hepburn, President, Hepburn Capital Management, LLC, Prescott, Arizona
Public Comment William T. Krempa, CFP, CFS, Certified Financial Planner, Fountainville, Pennsylvania
Public Comment Al Olsen
Public Comment Alan Cohn, CFP, Bala Cynwyd, Pennsylvania
Public Comment Andrew K. Markham, President, Markham Financial Services, Lake Forest, California
Public Comment Anne A. Dunnburg, MA, GCFP, Financial Planning Association, Richmond, Virginia
Public Comment Anthony P. Eastmond, MBA, Certified Financial Planner, Oklahoma City, Oklahoma
Public Comment Archibald R. Hoxton , IV, Investment Advisor Representative, Shepherdstown, West Virginia
Public Comment Arlene R. Foreman, Registered Investment Advisor, Fort Myers, Florida
Public Comment Barry D. Estell, Mission, Kansas
Public Comment Bernard P. Franceschi, CPA, CFP, Managing Member, McDonald Franceschi, LLC, Portland, Oregon
Public Comment Bill Ramsay, CFP, President, Financial Symmetry Inc., Raleigh, North Carolina
Public Comment Bill Starnes, Kennett Square, Pennsylvania
Public Comment Bonnie A. Hughes, CFP, Rome, Georgia
Public Comment Bradley J. Henthorn, CFP, VP, Henthorn Agency, Inc., Indianapolis, Indiana
Public Comment Brent J. Beverly, CFP, President, The Advisory Group, Diamond Bar, California
Public Comment Brett H. Schwartz, CFP, FPA, New York, New York
Public Comment Brian P. Sprague, CFP, Chesterfield, Missouri
Public Comment Briggs A. Matsko, CFP, Sacramento, California
Public Comment Brion S. Collins, CFP, CLU, Certified Financial Planner, Oconomowoc, Wisconsin
Public Comment Bruce G. Coldsmith, Certified Financial Planner, MBA, Mobile, Alabama
Public Comment Bruce J. Berno, CFP, financial planner, Cincinnati, Ohio
Public Comment Bryan K. Shevak, Certified Financial Planner, Boca Raton, Florida
Public Comment Bryan P. Day, Member, Financial Planning Association, Miami, Florida
Public Comment C. F. Boyles, Vice President, Retirement Specialists Incorporated, Houston, Texas
Public Comment Candace G. Kaplan, Bethesda, Maryland

Last Reviewed or Updated: Dec. 18, 2025

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