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 Stan Mock, CFP, FPA, SFSP, BAIFA, Boise, Idaho
Public Comment Stephen P. Barnes, CFA, Phoenix, Arizona
Public Comment Stephen R. Hample, CFP, CEO, Financial Planning Associates, LLC, Bozeman, Montana
Public Comment Steven Kaye, Warren, New Jersey
Public Comment T. Taylor Payne, CPA/PFS, CFP, President, Payne Financial Advisors, Inc., Evansville, Indiana
Public Comment Ted Toal, CFP
Public Comment Thomas A. Hennessy, CFP, Naperville, Illinois
Public Comment Thomas Guebert, Breese, Illinois
Public Comment Thomas R. Drake, East Alton, Illinois
Public Comment Thomas R. McIntire, McKinney, Texas
Public Comment Thomas R. OConnor, Vice President, The Keller Group Investment Management Inc., Irvine, California
Public Comment Thomas T. Neal, CFP, American Express Financial Advisors, Farmington Hills, Michigan
Public Comment Thomas Tavenner, CFP, Bethesda, Maryland
Public Comment Thomas V. Barnes, Financial Planning Association, Salt Lake City, Utah
Public Comment Todd W. Sivak, CFP, CFS, Certified Financial Planner, Oconomowoc, Wisconsin
Public Comment Velda A. Eugenias, CFP, Cedarholm & Eugenias, LLC, Gadsden, Alabama
Public Comment Vernon V. Chatman, III, CFP, California
Public Comment W. Hardy Callcott
Public Comment Warren E. Lawrence, CFP, CLU, owner, Objective Financial, a financial planning firm, Denver, Colorado
Public Comment William A. Morgan, III, Financial Planning Association, Ellicott City, Maryland
Public Comment William Eichenberger, CFP, Owner, Harbour Pointe Financial Advisors, LLC, Mukilteo, Washington
Public Comment William O. Wright, CFP, CFP, Wichita, Kansas
Public Comment Al Van Kampen, Seattle, Washington
Public Comment Frederick W. Rosenberg, attorney at law, Roseland, New Jersey
Public Comment Florine Johnson
Public Comment H. Jeanne Higley, Senior Trust Officer, Personal Trust Services
Public Comment Marc E. Lackritz, President, Securities Industry Association
Public Comment Charles Graves, Rome, Georgia
Public Comment Martel A. Bartlett, Roswell, Georgia
Public Comment S. A. McGee

Last Reviewed or Updated: Dec. 18, 2025

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