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 Raymond Heidel, CFP
Public Comment Roy Fortner
Public Comment Additional David Jones
Public Comment Christopher Dalto, JD, CFP, Delessert Financial Services, Newton Centre, Massachusetts
Public Comment David Jones
Public Comment Elizabeth J. Buerckholtz, Illinois
Public Comment Gina Koprowski, Delessert Financial Services, Newton Centre, Massachusetts
Public Comment Preston S. Caves, CFA, MBA, CFP, Caves & Associates
Public Comment Diana L. Davis
Public Comment Don Roork, CFP, President, AssetDynamics, Toledo, Ohio
Public Comment Donald Brooks
Public Comment Edward W.H. Kissinger, Vice President, Kissinger Financial Services, Hunt Valley, Maryland
Public Comment Gregory Merlino, President, Ameriway Financial Services Inc.
Public Comment J. Donald Larkin, CFP, Registered Principal, Financial Network Investment Corporation, Sun City, Arizona
Public Comment James B. Kennedy, CLU, ChFC
Public Comment K. Claunch
Public Comment Liz Taylor, Seattle, Washington
Public Comment Richard L. Almeida
Public Comment Rick T. Guerra, Vice President, Frost National Bank
Public Comment Scott R. Hewitt, investment advisor representative
Public Comment Todd C. Ganos, Carmel Valley, California
Public Comment Austin Gallaher, PFP, Financial Plan Development & Design, Comprehensive Financial Group, San Diego, California
Public Comment Curt Weil, CFP, Principal, Weil Capital Management, LLC, Palo Alto, California
Public Comment Dan Cagle, CFP
Public Comment Daniel E. Rodriguez, Registered Representative, San Antonio, Texas
Public Comment Dianna Parker, CFP, Regional Director of Financial Planning, Sagemark Consulting, Lincoln Financial Advisors
Public Comment Eric E. Haas, Altruist Financial Advisors LLC, Holland, Michigan
Public Comment George Paniculam, MBA, CFP, President, Financial Planning & Management Center, Inc., Ellicott City, Maryland
Public Comment George Toth, CFP, President, Chestnut Investment Advisory
Public Comment Jeanette Fierstein, CFP, Westborough, Massachusetts

Last Reviewed or Updated: Dec. 18, 2025

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