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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 Sort descending	Letter Type	Commenter Name
Jan. 13, 2000	Public Comment	Robert P. Goss, CFP, President, Certified Financial Planner Board of Standards, Inc.
Jan. 12, 2000	Public Comment	David A. Knight, Stephens, Inc., Little Rock, Arkansas
Jan. 12, 2000	Public Comment	David G. Tittsworth, Executive Director, Investment Counsel Association of America, Washington, D.C.
Jan. 11, 2000	Public Comment	Roger C. Stone, Stone Investment Advisory, Inc., Burlington, Vermont
Jan. 4, 2000	Public Comment	Pamela A. Jones
Dec. 28, 1999	Public Comment	Walter R. Greenfield
Dec. 21, 1999	Public Comment	Charles L. Parker, Jr., CFP, President, Parker Financial Advisors, Houston, Texas
Dec. 20, 1999	Public Comment	Richard K. Bryant, President, Capital Investment Group, Inc.

Last Reviewed or Updated: Dec. 18, 2025

File Number

S7-25-99

Release Number

34-42099

IA-1845

How to submit comments