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 Jon A. Ford, CFP, Commission Free Financial Planning Solutions, Inc., Cedar Falls, Iowa
Public Comment Jonathan Stoller, CFP, Los Angeles, Connecticut
Public Comment Jordan Gary, CFP, President, Investment and Asset Planning, LLC, Wichita Falls, Texas
Public Comment Joseph R. Garipoli, RR, IAR, CFP; member AIMR, NYSSA, FPA
Public Comment Joseph R. Pennington, CFP, fee only financial advisor, Tucson, Arizona
Public Comment Joseph S. Codrick, CFP, President, Chapel Hill Investment Analysts Inc., Greensburg, Pennsylvania
Public Comment Joyce Franklin, CPA, CFP
Public Comment Judith H. Heltzel, CFP, Certified Financial Planner licensee, Salem, Oregon
Public Comment Kathleen M. Longo, Financial Planning Association, Edina, Minnesota
Public Comment Keith L. Shadrick, President, Axia Advisory Corporation, Indianapolis, Indiana
Public Comment Kelli Warriner Crego, Certified Financial Planner, Brattleboro, Vermont
Public Comment Kenneth R. Blackmon, Financial Advisor, Voorhees, New Jersey
Public Comment Kenneth R. Ruhrup, CFP, Ed.D., Financial Planning Association, CLEARWATER, Florida
Public Comment Kenneth Robinson, JD, CFP, owner, Practical Financial Planning, Cleveland, Ohio
Public Comment Kenny Divelbiss, CFP, MSFS, CLU, ChFC, AEP, CFS, Norman, Oklahoma
Public Comment Kevin Blood, FPA, Scottsdale, Arizona
Public Comment Larry Dresner, FPA, Westbury, New York
Public Comment Laurence E. Menna, President, Menna Capital Management, LLC, Bakersfield, California
Public Comment Len K. Fettig, CFP, financial planner, Rogers, Arkansas
Public Comment Leon Khersonsky, Oakland, California
Public Comment Leonard M. Coris, Investment Advisor Personal Financial Planner since 1968, Tucson, Arizona
Public Comment Lisa Tatman, CFP
Public Comment Loren DeShon, Sammamish, Washington
Public Comment Lori A. Shepard, CFP, Fort Myers, Florida
Public Comment Lorian K. Petry, CFP, financial advisor, Newport Beach, California
Public Comment Madeline S. Buescher, CFP, CRPC, FPA, Spokane, Washington
Public Comment Marc S. Freedman, CFP, President, Freedman Financial, Peabody, Massachusetts
Public Comment Margie Mullen, NAPFA and FPA, Los Angeles, California
Public Comment Marilyn R. Bergen, Certified Financial Planner, Co-President, CMC Advisers, LLC, Portland, Oregon
Public Comment Mark A. Kelley, CPA, CFP, Denver, Colorado

Last Reviewed or Updated: Dec. 18, 2025

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