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 Jeff Armstrong, Financial Advisor, American Express, Vienna, Virginia
Public Comment John Mezzasalma
Public Comment Marc Vorchheimer, CFP, Nanuet, Yukon
Public Comment Mark A. Ciucci, Certified Financial Planner, Troy, Michigan
Public Comment Michael O. Babin, wealth advisor , New Orleans, Louisiana
Public Comment Nicholas B. Rowe, CFP, President, Focus Capital, Inc.; Branch Manager/Broker, Jefferson Pilot Securities Corporation
Public Comment Nicholas B. Rowe, CFP,President, Focus Capital, Inc.; Branch Manager/Broker, Jefferson Pilot Securities Corporation, Bedford, New Hampshire
Public Comment Paul E. Moyer, CFP, Findlay, Ohio
Public Comment Peggy C. Houser, CFP, Denver, Colorado
Public Comment Placido Pete Blanco, CFP, FPA, Coral Gables, Florida
Public Comment Randy Gerard, CFP,CDFA, Financial Planning Association, Leawood, Kansas
Public Comment Ronald L. Kradel, CLU, ChFC, Financial Advisor, Butler, Pennsylvania
Public Comment Scott Thomas, financial planning industry, North Carolina
Public Comment Stephanie A. Gelfeld, MBA, Owner, Accountable Financial Group, LLC, Englewood, Colorado
Public Comment Thomas S. Robbins, American Express Financial Advisors, West Conshohocken, Pennsylvania
Public Comment Timothy J. Holsworth, CFP, CLU, ChFC, Vice President, Laco Financial Services, Bay City, Michigan
Public Comment David W. Demming, Aurora, Ohio
Public Comment Harold V. Synan, Jr., Director of Planning, McCaskill Financial Group, Oklahoma City, Oklahoma
Public Comment James F. Foster, CFP, Certified Financial Planner, Kingdom Planning and Asset Management, Sparks, Nevada
Public Comment James Helba, Jr., Bridgeville, Pennsylvania
Public Comment John Perry, CFP, Financial Planning Association, Effingham, Illinois
Public Comment John Sullivan
Public Comment Marwan Jabbour, CSA, Registered Investment Advisor and member of the Financial Planning Association, McLean, Virginia
Public Comment Miles F. Rados, CFP, Cincinnati, Ohio
Public Comment Pat S. Burge, CFP, FPA, Houston, Texas
Public Comment Robert Matheson, CPA, CFP, President of the Financial Planning Association of Southwest Florida, Naples, Florida
Public Comment William M. Harris, Duxbury, Massachusetts
Public Comment Douglas R. Thorne, CPA, CFP, San Francisco, California
Public Comment Harry Scheyer, CPA/PFS. CFP, principal of own financial planning firm , Marlton, New Jersey
Public Comment Jeffrey M. Holler, CFP / FPA, Arlington, Texas

Last Reviewed or Updated: Dec. 18, 2025

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