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 Jerry M. Schwartz, CFP, Principal, Arista Investment Advisors, Ltd., Honolulu, Hawaii
Public Comment John W. Fiege, President, Financial Solutions, Registered Investment Advisor, Onancock, Virginia
Public Comment Leo G. Burns, CFP, Chico, California
Public Comment Mark Krivonak, CFP, ChFC, CLU, Tampa, Florida
Public Comment Max R. Chabanik, MBA, Student Member of The Financial Planning Association, Lemoyne, Pennsylvania
Public Comment Michael C. Creasman, CFP, Member, Financial Planning Association, Asheville, North Carolina
Public Comment Milton E. Fullen, CPA, CLU, ChFC, Ohio Society of CPAs, Financial Planning Association, Financial Executives International, Columbus, Ohio
Public Comment Norris G. Edmonson, CPA, PFS, American Institute of CPAs, Georgia Society of CPAs, Financial Planning Association, Lawrenceville, Georgia
Public Comment Philip G. Nisonger, CFP CLTC, Principal Toit, San Jose, California
Public Comment Reed C. Fraasa, CFP, Tyras, Fraasa Associates, LLC, Paramus, New Jersey
Public Comment Richard W. L. Hall, Past Director, New Mexico IAFP and FPA, Albuquerque, New Mexico
Public Comment Rick Mayo, CFP, Financial Planning Association, Virginia Beach, Virginia
Public Comment Ruth Johnson, consumer, Sacramento, California
Public Comment Scott E. Bordelon, CFP, Financial Investment Management Advisors, Inc., Covington, Louisiana
Public Comment Stephen C. Houser, CPA, DHSH Financial Services, Inc, Cocoa, Florida
Public Comment Stephen F. Lovell, President of Forsyth Heritage, Adjunct Professor of Finance at Golden Gate University, Walnut Creek, California
Public Comment Thomas P. Marks, CFP, Vice President, Private Banking, Harris Bank, Glencoe, Illinois
Public Comment Timothy F. Bock, Los Angeles, California
Public Comment Timothy J. Halls, CFP, CFA, Principal, Moneta Group, Clayton, Missouri
Public Comment Todd C. Chamberlain, CPA, Somers Point, New Jersey
Public Comment Warren J. Mackensen, Certified Financial Planner, NAPFA, FPA, Hampton, New Hampshire
Public Comment Ann Harrod, CFP, Harrod Financial Planning, Keswick, Virginia
Public Comment Ben H. Shiner, CFP, Registered Representative, New Albany, Indiana
Public Comment Bill Hoeltgen Sr., Littleton, Colorado
Public Comment Bill McDonald, Madison, Wisconsin
Public Comment Bryan K. Lee, Financial Planner, Plano, Texas
Public Comment Cameron A. Black, CFP, independent fee-only financial planner, Scottsdale, Arizona
Public Comment Charles Benway, CPA, CFP
Public Comment Charles D. White, FPA, Schaumburg, Illinois
Public Comment Charles L. Thompson, Jr.

Last Reviewed or Updated: Dec. 18, 2025

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