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

Filter comments

Date Received
Date Letter Type Commenter Name
Public Comment Jordon Gary, CFP, Jordon Gary and Associates, Financial Advisors, Wichita Falls, Texas
Public Comment Karl Smrekar, Allegheny Investments, Allegheny Financial Group
Public Comment Majorie Meyer, CPA, MBA
Public Comment Mark P. Schoenbeck, Vice President, Director. Advisory Services, Mutual Service Corporation
Public Comment Martha Q. Thomas, General Counsel, Horizon Capital Management, Inc., Lafayette, Louisiana
Public Comment Michael J. Richeson
Public Comment Michael R. Murray, CFP, Vice President-Investments, Private Client Group, Robert W. Baird & Co., Franklin, Wisconsin
Public Comment Paul W. Whaley, Vice President, Beatrice National Bank & Trust Co.; Financial Advisor, Raymond James Financial Services, Beatrice, Nebraska
Public Comment Priscilla Florence, CFP; Member, FPA
Public Comment Ralph A. Haneke, Registered Representative
Public Comment Randy L. Albertson, Beulaville, North Carolina
Public Comment Reed C. Fraasa, CFP; Tyras, Fraasa & Associates, LLC; Paramus, New Jersey
Public Comment Robert E. Keats, CFP, Keats, Connelly & Associates, Inc., Phoenix, Arizona
Public Comment Robert Glovsky
Public Comment Roger L. Thusius, CFP
Public Comment Ronald Scott Colson, CFP, MBA, President, Colson Financial Group Inc., Lakewood, California
Public Comment Sandra K. Langton, CFP, MBA
Public Comment Sandra Villiger, CFP
Public Comment Sandy Wenker, CPA, CFP, RFC, Capital Management Securities Inc.
Public Comment Shannon Wegner, CFP, President, Wegner Asset Management, Shorewood, Wisconsin
Public Comment Terry L. Kaul, CFP, Vantage Financial Partners Ltd.
Public Comment Thomas E. Jenkins, broker
Public Comment Toby Tobleman, Rudd & Wisdom, Inc.
Public Comment Tracey Cassaday
Public Comment Wayne L. Cassaday, CFP
Public Comment Will Marshall, CFP
Public Comment William Stan Bivin, CFP, Bivin & Associates, Inc.
Public Comment Joe Pennington, CFP, FAF, Personal Financial Advisors, Inc., Tucson, Arizona
Public Comment John Borger, Royal American Financial Advisors, Inc., Menifee, California
Public Comment Ron Pearson, CFP, Beach Financial Advisory Services, Virginia Beach, Virginia

Last Reviewed or Updated: Dec. 18, 2025

File Number
S7-25-99
Release Number
34-42099
IA-1845
How to submit comments