Comments on Proposed Rule: Books and Records Requirements for Brokers and Dealers Under the Securities Exchange Act of 1934

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Date Received
Date Letter Type Commenter Name
Public Comment Benoit Chenette, EDPP, Independent Document Technology Consultant
Public Comment Brian C. Underwood. Senior Vice President - Director of Compliance, A.G. Edwards & Sons, Inc.
Public Comment Garland H. Sharp, III, Chief Examiner, Division of Securities and Retail Franchising, Virginia State Corporation Commission
Public Comment Marion Lewis
Public Comment Preston V. Pumphrey, Pumphrey Securities
Public Comment Deborah Bortner, Director of Securities, Washington State Securities Division
Public Comment Maurice O. Cox, Supervising Examiner, Securities Regulation Division, State of California
Public Comment Michael L. Kerley, Vice President and Chief Legal Officer, MML Investors Services Inc.
Public Comment David Brant, Securities Commissioner
Public Comment Lawrence M. Lowman, Chief Compliance Officer
Public Comment Linda L. Rittenhouse, President, Advocacy,Legislative & Regulatory Affairs
Public Comment Michael J.C. Roth, President, USAA Investment Management Company
Public Comment Debra M. Bollinger, Director, Division of Securities, State of South Dakota
Public Comment W. Hardy Callcott, Vice President & Deputy General Counsel, Charles Schwab & Co., Inc.
Public Comment Thomas P. Koutris
Public Comment Robert H. Newtson, Director, Illinois Securities Department

Last Reviewed or Updated: Dec. 18, 2025

File Number
S7-26-98
Release Number
34-40518
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