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

Filter comments

Date Received
Date Letter Type Commenter Name
Public Comment James B. McGehee, CFA, CFP, AAMS, CFS, owner, Alpha Financial Advisors, LLC, Charlotte, North Carolina
Public Comment James Dew, CFP, Financial Planning Association, Scottsdale, Arizona
Public Comment James E. Kearney, CFP, CTFA, New York, New York
Public Comment James F. McDonough, CFP, FPA, Manteca, California
Public Comment James Helba, Jr., CFP Practitioner, Financial Planning Association member, Bridgeville, Pennsylvania
Public Comment James R. Wilbur, MS, MBA, CFP, EA, FPA, NAEA, Bellevue, Washington
Public Comment James V. King, Financial Representative, Northwestern Mutual Financial Network, Kansas City, Missouri
Public Comment Jason M. Palmer, C.P.A. and Certified Financial Planner, Huntington, New York
Public Comment Jean K. Mote, Financial Planners Association and National Association of Personal Financial Advisors, Cedar Rapids, Iowa
Public Comment Jeanne A. Robinson, CFP, Principal, The Marshall Financial Group, Doylestown, Pennsylvania
Public Comment Jeff S. Arnold, CFP, Financial Planning Association of Nebraska, Fremont, Nebraska
Public Comment Jeff W. Hinger, Financial Advisor, American Express Financial Advisors, San Antonio, Texas
Public Comment Jeffrey Kostis, CPA, CFP, Vernon Hills, Illinois
Public Comment Jerry C. Sneed, CFP, Financial Planning Association, Vacaville, California
Public Comment Jerry M. Schwartz, CFP, Financial Planning Association, Honolulu, Hawaii
Public Comment Jim Buckley, CFP, Daytona Beach, Florida
Public Comment Joanne M. Deaton, Member, Financial Planning Association, Richmond, Virginia
Public Comment Joe N. Curtis, CFP, Financial Advisor, Merril Lynch, Athens, Alabama
Public Comment John A. Brown, CFP, CEO, Brown Financial Advisory, Inc., Fairhope, Alabama
Public Comment John A. Schram, CFP, Investment Advisor Representative, Linsco Private Ledger, Spokane, Washington
Public Comment John A. Trusela, FPA, San Antonio, Texas
Public Comment John Beeson, CFP, MBA, Registered Investment Advisor, Petaluma, California
Public Comment John Borger, Menifee, California
Public Comment John H. Russell, CFP, Lubbock, Texas
Public Comment John J. Malzone, CFP, Newtown, Pennsylvania
Public Comment John K. Link, CFA, CFP, Dallas, Texas
Public Comment John L. Jenkins, Certified Financial Planner and SEC Registered Investment Adviser, San Diego, California
Public Comment John P. Pfaffmann, CFP, Financial Planning Association, Tempe, Arizona
Public Comment John P. Stelman, CFP, Financial Planning Association, Lake Orion, Michigan
Public Comment John S. Hayman, CFP, CEO, Capital Advantage, Inc, Lafayette, California

Last Reviewed or Updated: Dec. 18, 2025

File Number
S7-25-99
Release Number
34-42099
IA-1845
How to submit comments