Elizabeth Alpert, Scottsdale, Arizona, J(File name: ealpert7037.htm).Tim Berry, Chair, College Savings Plans Network, Indiana State Treasurer, J(File name: s70604-1787.pdf).Kahmer, CPA, AICPA, Baltimore, Maryland, J(File name: rpkahmer8828.htm) Schapiro, Vice Chairman, NASD President, Regulatory Policy and Oversight, Aug(File name: s70604-1827.pdf) Carol Aris, Redwood City, California, Aug(File name: caris7635.htm).Don Davis, Septem(File name: ddavis7865.htm).Roland Beaulieu, President/CEO, NewRiver, Inc., Novem(File name: rbeaulieu111705.pdf).John Doe, Boston, Massachusetts, Decem(File name: jdoe6397.htm).Keen, Pittsburgh, Pennsylvania, Decem(File name: sakeen2160.pdf) Walter Savage, Janu(File name: memo011806.pdf) Memorandum from the Division of Market Regulation regarding a call from F.Arno Berry, Operations Manager, Zahorik Financial Services, Inc., Febru(File name: aberry021006.htm).Harris, Registered Representative, Irvine, California, Febru(File name: mlharris3478.htm) August Kempf, CLU, CFP, Financial Planner, Registered Principal, and Registered Investment Advisor, Redmond, Washington, Febru(File name: rkempf6631.htm) Lloyd Lokka, Fallbrook, California, Febru(File name: llokka021306.htm).Marshall, Febru(File name: jfmarshall021406.htm) Meserve, Indianapolis Nafia (Board Member), Indianapolis, Indiana, Febru(File name: wameserve5357.htm) Bryan Thompson, Dallas, Texas, Febru(File name: bthompson022706.htm).Memorandum from the Executive Staff regarding a Apmeeting with representatives of the Investment Company Institute, dated Ap(File name: s70604-1828.pdf).and Pickard & Djinis LLP, dated Ap(File name: s70604-1829.pdf) Memorandum from the Executive Staff regarding a Apmeeting with representatives of NewRiver Inc.Sellers, Janu(File name: rdsellers9948.htm) Comments have been received from individuals and entities using a variety of Letter Types:.33-8358 34-49148 IC-26341Ĭonfirmation Requirements and Point of Sale Disclosure Requirements for Transactions in Certain Mutual Funds and Other Securities, and Other Confirmation Requirement Amendments, and Amendments to the Registration Form for Mutual Funds Comments on S7-06-04: Confirmation Requirements and Point of Sale Disclosure Requirements for Transactions in Certain Mutual Funds.
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