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 Robert J. Sullivan, CFP, Member NAPFA, FPA , Los Altos, California
Public Comment Sherman L. Doll, CPA/PFS, Capital Peformance Advisors, Walnut Creek, California
Public Comment Susan Macmichael John, CFP, NAPFA Member, FPA Member, Wolfeboro, New Hampshire
Public Comment Thomas A. Muldowney, Financial Advisor, Rockford, Illinois
Public Comment William R. Neubauer, NAPFA, FPA, Coral Gables, Florida
Public Comment Robert J. Confessore, CFP, Vice President, Wealth Builders, Inc., Little Silver, New Jersey
Public Comment Sara Marshall
Public Comment Stephen M. Edwards, Jackson, Mississippi
Public Comment Marilyn C. Dimitroff, CFP, Governor, CFP Board of Governors; Past Chair, CFP Board of Practice Standards; Bloomfield Hills, Michigan
Public Comment Terrence L. Tait, CFP, Presdent, Tait and Associates, Inc., New Bern, North Carolina
Public Comment Clifford E. Fowler, Jr., CPA/PFS, AICPA, PFS Designation Committee, Chair of KYCPA Financial Planning Section, Munfordville, Kentucky
Public Comment Steven B. Morris, CPA, CFP, PFS, Norcross, Georgia
Public Comment Steven Kaye, CFP, President, American Economic Planning Group, Watchung, New Brunswick
Public Comment Arthur J. Canter, CPA/PFS, CFP, Boca Raton, Florida
Public Comment Janet Tyler Johnson, Vice President of Financial Services, Clifton Gunderson Financial Services, Madison, Wisconsin
Public Comment Thomas C. Pritchett, CPA, PFS, CFP, APM, Managing Partner, APB WealthCare Advisors, LLP, Tifton, Georgia
Public Comment Nancy Lininger, Founder/Consultant, The Consortium
Public Comment Ron A. Rhoades, BS, JD, Director of Research and Chief Compliance Offeicer, Joseph Capital Management, LLC
Public Comment Marvin G. Hicks, CFP, CLU, Virginia Beach, Virginia
Public Comment Richard A. Hutchinson, MBA, MA, CFP, Principal, Dick Hutchinson, Registered Investment Advisor, Northford, Connecticut
Public Comment Bradley R. Teets, CPA/PFS, CFP, Punta Gorda, Florida
Public Comment Willie D. Middleton, III, Kannapolis, North Carolina
Public Comment Channing F. Mitzell, CFP, President, The Windsor Group, Ltd, Indianapolis
Public Comment Steven K. McGinnis, LWI Financial, Inc., San Jose, California
Public Comment Barbara Cole, CLU, CFP, Brea, California
Public Comment Bryon N. Milby, CPA, Campbellsville, Kentucky
Public Comment Deborah E. Voso, CFP, Frederick, Maryland
Public Comment Donald S. Loveless, CFA, Billings, Montana
Public Comment Geraldine Genco, Broker Dealer, RIA Compliance & Consulting
Public Comment Jack M. Brkich, III, Irvine, California

Last Reviewed or Updated: Dec. 18, 2025

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