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 Rameela Patel
Public Comment Steven B. Morris, CPA, CFP, Norcross, Georgia
Public Comment Tom Ward, CFP, JD, CRPC
Public Comment A. Raymond Benton, CFP
Public Comment Richard Hall, CFP, ChFC
Public Comment David F. Brochu, CFP, President, Progressive Financial Strategies Inc., Providence, Rhode Island
Public Comment John J. Ford, COO, Herbert R. Smith, Incorporated, Wichita Falls, Texas
Public Comment Charles D. Haines, Jr.
Public Comment Judy Goldman, CFP, Walnut Creek, California
Public Comment Richard E. Vodra, CFP, Falls Church, Virginia
Public Comment James R. Johnson, CFP
Public Comment Katharine McGee, CFP
Public Comment Nancy Bryant, MBA, CFP
Public Comment David Carpenter, Carpenter Associates, Littleton, Massachusetts
Public Comment Elissa Buie, CFP, Financial Planning Group, Inc., Falls Church, Virginia
Public Comment Gayle Knight Colman, CFP, Colman Knight Advisory Group
Public Comment James F. Williams, CEO, J. F. Williams Co., Inc., Denver, Colorado
Public Comment Kevin P. Condon, Ph.D., CFP, Principal, Baltimore-Washington Financial Advisors, Inc.
Public Comment Laurie McClain, investment advisor
Public Comment Richard B. Wagner, JD, CFP, Principal, WorthLiving, LLC
Public Comment Sherry Hazan-Cohen, CFP, Plano, Texas
Public Comment Vincent P. Emmer, CFP, President, Forestis Financial Analytics, Inc., Evergreen, Colorado
Public Comment Troy E. Jones, CFP
Public Comment David Riggs, Vice President and Senior Corporate Counsel, Charles Schwab & Co., Inc., San Francisco, California
Public Comment Duane R. Thompson, Director of Government Relations, Financial Planning Association
Public Comment Michael Rosenbaum, General Counsel, Asset Management, and Dov Schechter, General Counsel, Retail Sales, Salomon Smith Barney Inc.
Public Comment Nora M. Jordan, Partner, Davis Polk & Wardwell, New York
Public Comment Stephen A. Keen, General Counsel, and Jay S. Neuman, Corporate Counsel, Federated Investors, Inc.
Public Comment Don Hodges, registered representative and majority owner, First Dallas Securities
Public Comment Jean Margo Reid, Chair, Investment Adviser Committee, Securities Industry Association

Last Reviewed or Updated: Dec. 18, 2025

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