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 Joe Barrett, Richmond, Virginia
Meeting with SEC Officials Memorandum from the Office of Commissioner Goldschmid regarding meeting on September 18, 2002 with representatives of The Financial Planning Association
Meeting with SEC Officials Memorandum from the Office of Commissioner Goldschmid regarding meeting on September 10, 2002 with respresentatives of the Investment Counsel Association of America
Public Comment Edward J. Uhl, CFP
Public Comment Diane Haneklau, CFP
Public Comment Steven Martin
Public Comment Walter Crow, CFP
Public Comment Michael Evans, CFP, CSA
Public Comment Craig Limoges, CFA, CFP, EA
Public Comment Glenda D. Kemple, CPA, CFP, President and Co-Founder, Quest Capital Management, Dallas, Texas
Public Comment Jonathan Thornberry, Client Services Representative, and Carole J.A. Peck, MBA, CFP, President, Retirement Planning Strategies, Ltd
Public Comment E. W. "Woody" Young, CFP, President and Co-Founder, Quest Capital Management, Inc., Dallas, Texas
Public Comment Mary H. Durie, CFP, Financial Advisor, Quest Capital Management, Inc., Dallas, Texas
Public Comment Carl J. Kunhardt
Public Comment Greg P. Cleary, CLU, ChFC, CFS, REBC
Public Comment Marge Lumpe, CFP, Waddell & Reed, San Antonio, Texas
Public Comment Tom Graffeo, CFP
Public Comment Jonathan C. Brandt, CFP, Journey Tree Financial Planning and Investments, Eugene, Oregon
Public Comment Marvin G. Hicks, Springfield, Massachusetts
Public Comment Diane R. Maloney
Public Comment Gary Vawter, MS, CFP, Vawter Financial, Ltd., Columbus, Ohio
Public Comment John A. Schram, CFP
Public Comment V. Raymond Ferrara, CFP, President and CEO, ProVise Management Group, LLC
Public Comment Ann W. Joly, CFP, Harbor Financial Group
Public Comment James A. Stehr, AIA, Alameda, California
Public Comment James R. Noonan, CFP
Public Comment Kevin P. Shay
Public Comment Laurence E. Menna, Financial Planner/Branch Manager, Raymond James Financial Services, Inc.
Public Comment Michele Cody, CFP, South Milwaukee, Wisconsin
Public Comment Paula H. Hogan, CFP, CFA, Hogan Financial Management, Milwaukee, Wisconsin

Last Reviewed or Updated: Dec. 18, 2025

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