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 Douglas L. Frieson, CFP, Member, NAPFA and FPA, Cupertino, California
Public Comment Dwight A. Mikulis, CFP, Columbia, Maryland
Public Comment Edd H. Hyde, CFP, CIMA, AIFA, President and CEO, Radnor Financial Advisors, Inc., Wayne, Pennsylvania
Public Comment Elaine M. Potash, CFP, ChFC, financial planner, Greenwich, Connecticut
Public Comment Elizabeth A. Suskind, San Diego, California
Public Comment Eric E. Haas, Chief Investment Officer, Altruist Financial Advisors LLC, Holland, Michigan
Public Comment Eric J. Seff, Certified Financial Planner, Mamaroneck, New York
Public Comment Eric M. Carson, Senior Financial Advisor, American Express Financial Advisors, Mishawaka, Indiana
Public Comment Eric S. Smith, Registered Representative of NASD member firm, Camarillo, California
Public Comment Eugene R. Lawrence, CFP, Institute Director, Financial Life Planning Institute, Binghamton, New York
Public Comment F. Dennis De Stefano, CPA, CFP, Kihei Maui, Hawaii
Public Comment Frank E. Jacober, Jr., President, Jacober Investment Management, Inc., Vernon Hills, Illinois
Public Comment Frank J. Flores, Jr., Certified Financial Planner, Essex, Connecticut
Public Comment Fred J. Stewart, Ph.D., CFP, President, F. Stewart Associates, P.C., Missoula, Montana
Public Comment Fredrick J. Deyeso, III, New York, New York
Public Comment Gary J. Brei, CFP, Registered Representative, RIA, Mokena, Illinois
Public Comment George H. Coughlin, II, CFP, California Registered Investment Advisor, Alamo, California
Public Comment Gerald R. Gortner, CLU, ChFC, CFP, Financial Advisor, American Express Financial Advisors, Inc., Canastota, New York
Public Comment Glen E. Adams, Napa, California
Public Comment Glenn E. Levine, CFP, Senior Portfolio Manager, U.S. Banorp Asset Management, Louisville, Kentucky
Public Comment Glenn G. Kautt, CFP, McLean, Virginia
Public Comment Grace M. Worley, CFP, Worley Financial Group, Inc., Indianapolis, Indiana
Public Comment Greg F. Young, CFP, Certified Financial Planner, West Palm Beach, Florida
Public Comment Gregory A. Lucas, CFP, Financial Planning Association of Northern California, Sacramento, California
Public Comment Gregory M. Shepardson, CFS, Chesterfield, Missouri
Public Comment Harold Evensky, CFP, Chairman; Evensky, Brown Katz; Coral Gables, Florida
Public Comment J. A. Abels, President, Family Estate Planning, Inc.; Chairman of the Board, Radiology Staffing, Inc.; Registered Representative, Financial Network Investment Corporation; Papillion, Nebraska
Public Comment J. Jerri Hewett, CFP, LPL Financial Services, Inc., Atlanta, Georgia
Public Comment Jack C. Harmon II, CFP, CIMA, Principal, Harmon Financial Advisors, Inc., Atlanta, Georgia
Public Comment Jacqueline J. Goldberg, CPA, CEO, Arthur Financial Service, Inc., Evanston, Illinois

Last Reviewed or Updated: Dec. 18, 2025

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