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 Robert C. Huhn, CFP, RC Huhn Financial Advisors, Sheboygan, Wisconsin
Public Comment Chris Toadvine, CFP, Client Manager, Ronald Blue & Co., LLC, Orlando, Florida
Public Comment David A. Lazear, Financial Planner, Financial Designs, Ltd., San Diego, California
Public Comment Ed Snyder, Oaktree Financial Advisors, Inc.
Public Comment Grace Worley, CFP, Indianapolis, Indiana
Public Comment Jeannette A. Jones, CPA, CFP, President, The Asset Advisory Group, Inc.
Public Comment John Ruzza
Public Comment Michael I. Wang, J.D., financial planner, Chicago, IL
Public Comment Robby T. Bryant, CFP, Magnolia Financial Planning Services, Inc., Seneca, South Carolina
Public Comment Scott D. Martin, CFP, financial advisor
Public Comment Thomas Gaertner, CFP, Senior Associate, Retirement Planning Corporation, Brookfield, Wisconsin
Public Comment Kate Vieh, Ronald Blue & Company, LLC, Atlanta, Georgia
Public Comment Dawn Heneberry
Public Comment Duane Hinrichs
Public Comment Judy Miller, Certified Financial Planner, Certified College Planning Specialist, College Solutions
Public Comment John W. Einberger, CFP
Public Comment Thomas B. Fleishel, MBA, Certified Financial Planner, Fleishel Financial Associates, Inc., Deland, Florida
Public Comment Warren W. Kent, Jr., CFP
Public Comment Marilyn R. Bergen, CFP, CMC Advisers, Portland, Oregon
Public Comment Jeffrey D. Chinery, CFP, Director, National Planning Group, Ronald Blue & Co., LLC, Atlanta, Georgia
Public Comment Paul Buehrens, MD, Medical Director, Lakeshore Clinic, Kirkland, Washington
Public Comment Vikke Ratledge, Compliance Manager, Ronald Blue & Co., LLC
Public Comment Chris White, CFP, Vice President-Financial Planning, Provident Financial Advisors
Public Comment Frederick W. Walschot
Public Comment John K. Best
Public Comment Timothy J. Watters, CFP, Washington Square Securities Inc., Minneapolis, Minnesota
Public Comment William R. Verhagen, CFP, CPA, CFS, CLU, Innovative Financial Solutions, Inc., Bloomington, Indiana
Public Comment Lois Isbell
Public Comment Patrick J. McDonald, CFP
Public Comment G. Dulany Howland, CFP, G. Dulany Howland Advisory Corp., Dallas, Texas

Last Reviewed or Updated: Dec. 18, 2025

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