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 William D. Heichel, JD, CFP, American Bar Association, Mansfield, Ohio
Public Comment Bobbie D. Munroe, CFP, President, Financial Planning Association of Georgia, Atlanta, Georgia
Public Comment Brian R. Carlton, CFP, Lynchburg, Virginia
Public Comment Charles S. Zimmerman, fee based financial advisor, Atlanta, Georgia
Public Comment Christopher D. Rich, CFP, Managing Member, RMR Financial Advisors LLC, Madison, Wisconsin
Public Comment David J. Chapman, Kennesaw, Georgia
Public Comment Eve L. Kaplan, CFP, Berkeley Heights, New Jersey
Public Comment George D. Fritts, CFP and FPA, Atlanta, Georgia
Public Comment Jack K. Myers, CFP, Columbus, Georgia
Public Comment James Heard, CFP, President, Windham Brannon Financial Group, Atlanta, Georgia
Public Comment John R. Day, CPA/PFS, Macon, Georgia
Public Comment John S. Davis, CFP, President, Mentor Capital Management Inc., Elmhurst, Illinois
Public Comment Katherine B. Fries, CFP, Bethesda, Maryland
Public Comment Kenneth F. Robinson, JD, CFP, Owner, Practical Financial Planning, Cleveland, Ohio
Public Comment Lynn R. Garrison, PE, Overland Park, Kansas
Public Comment Michael A. Potito, AVA, President, Singer Potito Associates,Inc., Amherst, Massachusetts
Public Comment Rick Brooks, CFP, CFA, San Diego, California
Public Comment Robert J. Spindel, CFP, NAPFA Registered Financial Advisor, St.Louis, Missouri
Public Comment William D. Starnes, NAPFA, FPA, Newark, Delaware
Public Comment Alice W. Hallford, CFP, Hallford Financial Advisors, Jackson, Mississippi
Public Comment Christopher P. Van Slyke, CFP, La Jolla, California
Public Comment David B. Jacobs, President of Pathfinder Financial Services, LLC, Kailua, Hawaii
Public Comment David D. Wilder, CFP, Cincinnati, Ohio
Public Comment Gail J. Parker, CFP, member, National Association of Personal Financial Advisors, Portland , Oregon
Public Comment Harvie Roe, CFP, NAPFA, Tulsa, Oklahoma
Public Comment James D. Schwartz, NAPFA, CFP Board of Standards, Chandler, Arizona
Public Comment James Milne
Public Comment John Bagley, CFP, CPA, NAPFA, AICPAs, Scottsdale, Arizona
Public Comment John Carey, Certified Financial Planner and President of an RIA
Public Comment Lawrence H. Friedrichs, CPA, CFP, AICPA, NAPFA, Mesa, Arizona

Last Reviewed or Updated: Dec. 18, 2025

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