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 Jana Hazelbaker, CFP, Naples, Florida
Public Comment Joanne Botson, Westlake, Ohio
Public Comment Joseph R. Hollen, MD, CCPS, President, Hollen Financial Planning, Ltd., Reno, Nevada
Public Comment Kevin P. Condon, Ph.D., CFP, Partner, Financial Advice dot com. , Denver, Colorado
Public Comment Kirk W. Kinder, financial advisor, fee-only planning firm, Palm Harbor, Florida
Public Comment Laurence S. Schultz, Federal Legislation Committee Chairman, Public lnvestors Arbitration Bar Association
Public Comment Mark Atherton, CFP, Member of NAPFA, FPA, Reston, Virginia
Public Comment Michael A. Dubis, CFP, President, Touchstone Financial, LLC; President, Financial Planning Association of Southern Wisconisn, National Association of Personal Financial Advisors Member, Madison, Wisconsin
Public Comment Peter M. Lane, Centennial, Colorado
Public Comment Richard M. Layne, Esq., Portland, Oregon
Public Comment Robert E. Maloney, MSFS, Annapolis, Maryland
Public Comment Robert M. Frey, CFP, Owner, Professional Financial Management, Inc., Bozeman, Montana
Public Comment Sennett Kirk, President, Kirk Securities Corporation
Public Comment Sophie Kaluziak, CPA, Oak Park, Illinois
Public Comment Stephen S. Overstreet, NAPFA Member, Winter Springs, Florida
Public Comment Steven A. Weydert, CFP, NAPFA Board of Directors, Park Ridge, Illinois
Public Comment W. Eric Hehman, CFP, NAPFA South Region Board Member, Austin, Texas
Public Comment Arthur S. Pesner, CFA, Chief Financial Officer, P.R. Herzig Co. Inc., Roslyn Heights, New York
Public Comment Bill J. Jerome, Pittsburgh, Pennsylvania
Public Comment F. Dennis De Stefano, fee-only wealth manager, Kihei Maui, Hawaii
Public Comment Harold Evensky, Chairman, Evensky & Katz
Public Comment Jeff Bogue, CFP
Public Comment John Sullivan, FPA
Public Comment Peter J. Taafe, Bremerton, Washington
Public Comment Richard A. Johnson, CFP, CMFC, RFC, Rick Johnson Family Office, LLC, Jacksonville, Florida
Public Comment Allen Purkiss, CFP, Ridgefield, Connecticut
Public Comment Eric Turloff, CFA CPA, advisor, Seattle, Washington
Public Comment J. Richard Joyner, President, Private Wealth Management, Tolleson Wealth Management
Public Comment Thomas G. Buresh, CPA, CFP, VP, Suby Von Haden Assoc., S.C., Madison, Wisconsin
Public Comment William C. Jerome, CFP, RIA, member of NAPFA, Glenville, New York

Last Reviewed or Updated: Dec. 18, 2025

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