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 Ralph J. Feith, CFP, FPA, Oldsmar, Florida
Public Comment Ralph Ujano, Jr., Certified Financial Planner, Certified Public Accountant, Bellevue, Washington
Public Comment Randolph M. Martin, CFP, Certified Financial Planner, Columbus, Ohio
Public Comment Raymond O. Streu, CFP, Amarillo, Texas
Public Comment Reginald L. Jensesn, Certified Financial Planner, Chartered Financial Consultant, CLU, San Jose, California
Public Comment Richard D. Moore, CFP, Fresno, California
Public Comment Richard E. LaCross, CPA, CFP; Tax Manager; Vitale, Caturano Company, LTD; Boston, Massachusetts
Public Comment Richard F. Yost, CLU, ChFC, CFP, AEP, Financial Planning Association, National Association of Estate Planning Councils, Society of Financial Service Professionals, National Association of Insurance Financial Advisers, Eugene, Oregon
Public Comment Richard J. Devick, St Louis Park, Minnesota
Public Comment Richard J. Greenfield, MA, MBA, CFP, Financial Planning Association, Certified Financial Planner, RJG Financial, Dallas, Texas
Public Comment Richard M. DeCrosta, Wallingford, Connecticut
Public Comment Richard Millar, CFP, Olympia, Washington
Public Comment Richard R. Rysiewski, CFP, Adjunct Professor, Business School, Oakland University, Shelby Township, Michigan
Public Comment Robert A. Hanington, Certified Financial Planning, Lake Oswego, Oregon
Public Comment Robert C. Monin, CFP, FPA, Williamsville, New York
Public Comment Robert D. Ericson, CFP, FPA, Ericson Financial Solutions, Los Gatos, California
Public Comment Robert J. Sullivan, CFP, CEO, Sullivan Serwitz Investment Advisors, Inc., Los Altos, California
Public Comment Robert K. Haley, JD, CFP, President, Advanced Wealth Managment, Portland, Oregon
Public Comment Robert Kleinman, CFP, President, Kleinman Financial Services, Port Washington, New York
Public Comment Roger Buswell, CFP, Member, Financial Planning Association, Castle Rock, Colorado
Public Comment Ronald G. Mohney, CFP
Public Comment Ronald Matsui, Campbell, California
Public Comment Ronald Matsui, Campbell, California
Public Comment Ronald Tobleman, F.S.A., Society of Actuaries
Public Comment Ryan W. Huey, CFP, Perryman Financial Advisory, Inc., Dallas, Texas
Public Comment Scott A. Van Epps, CFP, Sacramento, California
Public Comment Scott M. Levin, Certified Financial Planner Practioner, Hunt Valley, Maryland
Public Comment Scott Sprague, financial planner, San Ramon, California
Public Comment Shannon Wegner, Madison, Wisconsin
Public Comment Sharon K. Guthrie, Creative Financial Centre, Bedford, Indiana

Last Reviewed or Updated: Dec. 18, 2025

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