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 Mark J. McGaunn, CPA/PFS, CFP, President, MJM Financial Advisors, LLC, Acton, Massachusetts
Public Comment Mark Smith, CPA, CFP, CLU, Richmond, Virginia
Public Comment Mark V. Kenny, MBA, CFP, Managing Director, Glencrest Investment Advisors, Inc., Claremont, California
Public Comment Mark W. Rekow, FPA, Montevideo, Minnesota
Public Comment Mary Anne Redmond, CFP, Addison, Texas
Public Comment Matt McKellar, ChFC, CFP, Bellevue, Washington
Public Comment Matthew J. Gulseth, Esquire, attorney, investment advisor, Virchow Krause Wealth Management, Bloomington, Minnesota
Public Comment Merrell E. Dean, CFP, LUTCF, Member, Financial Planning Association, Norman, Oklahoma
Public Comment Michael A. Hull, CFP, RFC, CPhD, Financial Planning Association, Lafayette, Indiana
Public Comment Michael G. Paregian, Malvern, Pennsylvania
Public Comment Michael J. Irving, President, Irving Planning Investments, Ltd., Denver, Colorado
Public Comment Michael L. Chindamo, CFP, Financial Planning Association; Founder, FFA Family Financial Advocates, Inc., Winter Park, Florida
Public Comment Michael Pace, Certified Financial Planner, Seattle, Washington
Public Comment Michael S. Miles, CFP, REBC, MBA, Principal Advisor, Turnkey Financial Services, McLean, Virginia
Public Comment Mike F. Haddad, Santa Ana, California
Public Comment Mitchell G. Owens, owner, Owens Financial, Severna Park, Maryland
Public Comment Nancy A. Ferriss, CFP, Financial Planning Association, St. Louis, Missouri
Public Comment Nancy A. Kistner, CFP, Board Director, Financial Planning Association, New York, New York
Public Comment Neal J. Solomon, CFP, CLU, ChFC , Managing Director, WealthPro, LLC, Gloversville, New York
Public Comment Oliver R. Tutt, CFP, Managing Partner, Blackstone Capital, Providence, Rhode Island
Public Comment Paul B. Macchia, Esq., MBA, RFC, Member of the Bar NY, NJ and DC, Registered Financial Consultant, Morristown, New Jersey
Public Comment Paul E. James, CFP/NBE, US Treasury retired, Bonita Springs, Florida
Public Comment Paul J. Bednarski, CFP, Independent Registered Investment Advisor CA, Irvine, California
Public Comment Paul W. Whaley, General Securities Principal, Raymond James and Associates; Financial Planning Association member; Beatrice, Nebraska
Public Comment Peter A. Godino, FPA, CFP, Pleasant Hill, California
Public Comment Peter Taafe, CFP, Bremerton, Washington
Public Comment Phil Fratto, Registered Representative, Series 6,22,63 65
Public Comment Philip G. Nisonger, CFP, FPA, San Jose, California
Public Comment R. Gay Northrup, CFP, MBA, Financial Advisor, American Express Financial Advisors Inc., Bellevue, Washington
Public Comment Ralph A. Haneke, CFP, Practicing Financial Planner, Great Bend, Kansas

Last Reviewed or Updated: Dec. 18, 2025

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