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 Sort descending	Letter Type	Commenter Name
July 29, 2004	Public Comment	Catherine Bickle
July 29, 2004	Public Comment	G. R. Abendhoff
July 29, 2004	Public Comment	Ray D. Robbins, LEAP, LPC, Regional EAP Consultant, Raleigh, North Carolina
July 29, 2004	Public Comment	Roger Hudgins, Jr.
July 27, 2004	Public Comment	Arthur Riedlinger
July 27, 2004	Public Comment	Peter Ives, Albuquerque, New Mexico
July 26, 2004	Public Comment	Alison Fields, Washington, District of Columbia
July 26, 2004	Public Comment	Henry M. Fales, Silver Spring, Maryland
July 26, 2004	Public Comment	John Heins
July 26, 2004	Public Comment	Joseph Conklin, Oxon Hill, Maryland
July 26, 2004	Public Comment	Wallace Cole, Baxley, Georgia
July 25, 2004	Public Comment	Alvin J. Rowe, Jr., Suwanee, Georgia
July 25, 2004	Public Comment	Evans M. Harrell, Marietta, Georgia
July 25, 2004	Public Comment	John Mancino, Boulder, Colorado
July 25, 2004	Public Comment	Robert R. Chandler, M.D.
July 25, 2004	Public Comment	Tim O'Keefe
July 24, 2004	Public Comment	Judith Gettleman
July 24, 2004	Public Comment	Mark Trexler, Wailalua, Hawaii
July 24, 2004	Public Comment	Neil Leary, Silver Spring, Maryland
July 24, 2004	Public Comment	R. O. Janes, Lynchburg, Virginia
July 24, 2004	Public Comment	Sanford Z. K. Hampton, Anacortes, Washington
July 23, 2004	Public Comment	Bridget Collins
July 23, 2004	Public Comment	David Condit, Warrenton, Virginia
July 23, 2004	Public Comment	J. Messitte, Maryland
July 23, 2004	Public Comment	James J. Hill
July 23, 2004	Public Comment	John A. McManemin, Ph.D.
July 23, 2004	Public Comment	Mark S. von Wehrden
July 23, 2004	Public Comment	Michael Lavelline
July 23, 2004	Public Comment	Michael Packard
July 23, 2004	Public Comment	Richard D. Lauer, Sioux Falls, South Dakota

Last Reviewed or Updated: Dec. 18, 2025

File Number

S7-25-99

Release Number

34-42099

IA-1845

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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:

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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:

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