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 Carl Benedict, CFP, Baton Rouge, Louisiana
Public Comment Carole J. Peck, President, Bonita Springs, Florida
Public Comment Carolyn Cash, CFP, Chesterfield, Missouri
Public Comment Cathy Norris, CFP, Financial Planning Association, Tampa, Florida
Public Comment Charles Brewster, CFP, MBA, President, Brewster Financial Planning, Brooklyn, New York
Public Comment Charles D. Vaughan, CFP, President, The Retirement Source, Inc., Cincinnati, Ohio
Public Comment Chris Kuehne, CFP, National Association of Personal Financial Advisors, Financial Planning Association, Pound Ridge, New York
Public Comment Clifford R. Raynor, CFP, owner, Raynor Financial Services, Greenlawn, New York
Public Comment Constance M. Dupras, CFP, CPA, Financial Planning Association, Greater Washington Society of CPAs, Vienna, Virginia
Public Comment Craig E. Carnick, financial planner, Colorado Springs, Colorado
Public Comment Curt Weil, CFP, Principal, Weil Capital Management, LLC, Palo Alto, California
Public Comment Dale Siligmueller
Public Comment Dana Barfield
Public Comment Danial W. Corey, Financial Planning Association, National Association of Tax Professionals, Rapid City, South Dakota
Public Comment Daniel D. Sheehan, CFP, President, Sheehan Life Planning, Braintree, Massachusetts
Public Comment Danny J. Frazell, EA, CFP, National Association of Enrolled Agents, Financial Planning Association; President, Legacy Wealth Advisors, Inc., De Soto, Texas
Public Comment David C. Eaton, estate planning, asset management, Registered Representative, Berwyn, Pennsylvania
Public Comment David E. Stone, MBA, Certified Financial Planner, Chartered Financial Consultant, Lincoln Financial Advisors Corp., Sacramento, California
Public Comment David Hultstrom
Public Comment David L. Witherbee, CFP, Concord, Massachusetts
Public Comment David Lam, CFP, Financial Planner Association, Springfield, Pennsylvania
Public Comment David M. Kover, CFP, Financial Planning Association of Illinois, Chicago, Illinois
Public Comment David P. Robinson, CFP, AAMS, Financial Planning Associatin and Estate Planning Council of Central Texas, Austin, Texas
Public Comment Dean L. Boebinger, Senior Vice President, King Investment Advisors, Houston, Texas
Public Comment Dennis E. Nelson, CFP, President, DENCO Financial Group, Marblehead, Massachusetts
Public Comment Derek Gulley, Certified Financial Planner, Denver, Colorado
Public Comment Diana Davis, financial planner, Springfield, Virginia
Public Comment Diane J. Roper, JD, CLU, CFP, Clearwater, Florida
Public Comment Diane L. Butturff, PhD, CFP, financial representative, Conway, Arkansas
Public Comment Douglas Baker

Last Reviewed or Updated: Dec. 18, 2025

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