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 David L. Meckenstock, VP Principal, Main Street Securities
Public Comment Karolyn R. Lunsford, CFP, J.P. Aktinson & Associates, Inc.
Public Comment Tim Scannell
Public Comment Mark Greenberg, JD, CFP
Public Comment Stephan Wack
Public Comment Brian Y. Horne, CFP
Public Comment Dr. Nancy Russell, Ph.D., Russell Associates
Public Comment Michael L. Jones, CFP, ChFC, RFC, Resource Advisors, Inc., LPL, Louisville, Kentucky
Public Comment Nancy J. Johnson, CFP, Vice President, Chief Compliance Officer, 1st Global Capital Corp.
Public Comment Robert Keats, CFP, Phoenix, Arizna
Public Comment Terry Balding, CFP
Public Comment John M. Potter, CFP, CPA/PFS
Public Comment Thomas L. Solberg
Public Comment Bill Moran, CFP, CPA
Public Comment Bob Gordon
Public Comment David C. Luck, CPA, Columbiaville, New York
Public Comment David L. Berman, CFP, CLU, Berman Financial Group, LLC
Public Comment Frank E. Jacober, Jr., ChFC, President, Jacober Investment Management, Inc., Vernon Hills, Illinois
Public Comment Ivan Bullerman, CFP
Public Comment Jack L. Sloan, CFP
Public Comment James L. Losey, Jr., CFP, CLU
Public Comment Linda Yows Leitz, CFP
Public Comment Louis J. Schwarz, Schwarz Financial Concepts, Silver Spring, Maryland
Public Comment Mark Motzel
Public Comment Michael S. Miles, CFP, Registered Investment Advisor
Public Comment Peter G. Timmerman, CFP
Public Comment W. Joseph Harper, CPA
Public Comment H. B. Orr, Registered Representative
Public Comment Jeanette Fierstein, CFP, Westborough, Mass.
Public Comment Marc Singer, CFP, Coral Gables, Florida

Last Reviewed or Updated: Dec. 18, 2025

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