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 Jed Bandes
Public Comment Mark V. Kenny, CFP, Glencrest Investment Advisors, Managing Director, Irvine, California
Public Comment Michael L. Jones, CFP, Louisville, Kentucky
Public Comment Suzanne C. Low, JD, CFP
Public Comment Aaron D. Chamberlin, Financial Consultant, A. G. Edwards, La Jolla, California
Public Comment Austin Gallaher, PFP, Financial Planner, Wealth Analytics, San Diego, California
Public Comment ManINa Suit
Public Comment Phillip Q. Couture, CFP, FPA, Sarasota, Florida
Public Comment Roger R. Bell, II, Dublin, Virginia
Public Comment Cathleen Burns, CFP, Financial Advisor, Morgan Stanley, St. Augustine, Florida
Public Comment Daniel H. Boyce, Financial Planning Association member, Bloomfield Hills, Michigan
Public Comment James B. Kenney, CLU, ChFC, Chartered Financial Consultant, Lutherville, Maryland
Public Comment Joseph F Fessler, CFP, Vero Beach, Florida
Public Comment Katherine R. Roberts, Adjunct Professor of Retirement Planning, DePaul University, Chicago, Illinois
Public Comment Margery K. Schiller, CFP, NAPFA Registered Financial Advisor, Brandon, Florida
Public Comment Michael J. Zmistowski, Tampa, Florida
Public Comment Nancy J. Lange, CPA, CFP
Public Comment Stan E. Johnson, Registered Investment Advisor, Durango, Colorado
Public Comment Allan W. Moskowitz, CFP, Principal, Progressive Wealth Management, San Lorenzo, California
Public Comment Anthony J. Rossetti, CFP, Financial Planning Association, Winter Park, Florida
Public Comment Anthony P. Eastmond, CFP, Oklahoma City, Oklahoma
Public Comment Bruce G. Coldsmith, CFP, MBA, Mobile, Alabama
Public Comment Clair N. McRostie, CFP, PhD, FPA, Emeritus Professor of Economics, Gustavus Adolphus College, St. Peter, Minnesota
Public Comment Colin S. Mackenzie, CFP, Redondo Beach, California
Public Comment Daniel H. Foster, CPA, FPA
Public Comment Eric Heckman, CFP
Public Comment Gary L. Braden, Vice President, Broker Dealer, IFPS, Member NASD SiPC, Frankenweg 3, Speicher, Germany
Public Comment Jaime A. Hinojosa, CFP, Financial Planning Association, Pleasant Hill, California
Public Comment James Kirkland, CFP, MATS, President of DFC Financial Group, Inc., Oxford, Michigan
Public Comment James L. Gruning, MBA, RFC, FPA, Plymouth, Minnesota

Last Reviewed or Updated: Dec. 18, 2025

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