Select regulatory documents by category:
Dealers, General Public, Municipal Advisors
All Comments to Notice 2023-11
- Advisabilitys: Email from Andrew Boyack dated January 9, 2024
- Academy Securities, Inc.: Letter from Michael Boyd, Chief Compliance Officer, dated February 23, 2024
- American Securities Association: Letter from Jessica R. Giroux, General Counsel, dated February 26, 2024
- Amuni Financial, Inc.: Letter from Mike Petagna, President, dated January 8, 2024
- Anonymous: Letter
- Bond Dealers of America: Letter from Michael Decker, Senior Vice President, dated February 26, 2024
- Clary Consulting Company: Email from Lowell Clary dated February 16, 2024
- Derivative Advisors: Letter from Elaine M. Philbrick, Principal, dated December 6, 2023
- Dixworks, LLC: Email from Dennis Dix, Jr. dated February 9, 2024
- Echo Valley Advisors, LLC: Letter from Julie Needham, President, dated February 23, 2024
- Herold & Lantern Investments: Letter from Brad Harris, Director of Fixed Income – Municipal Bonds
- Municipal Capital Markets Group, Inc.: Letter from Fred R. Cornwall, President, dated February 26, 2024
- National Association of Municipal Advisors: Letter from Susan Gaffney, Executive Director, dated February 26, 2024
- Regional Brokers, Inc.: Letter from H. Deane Armstrong, CCO, dated February 26, 2024
- Ridgeline Municipal Strategies, LLC: Email from Dmitry Semenov dated December 29, 2023
- Sanderlin Securities LLC: Letter from Matthew Kamler, President, dated January 26, 2024
- Searle & Co., Inc.: Letter from Robert S. Searle, President, dated February 16, 2024
- Securities Industry and Financial Markets Association: Letter from Leslie M. Norwood, Managing Director and Associate General Counsel, Head of Municipal Securities, dated February 26, 2024
- Shnayder, Yana: Email dated December 13, 2023
- Siebert Williams Shank & Co., LLC: Letter from Suzanne Shank, President & Chief Executive Officer, and Gary Hall, President of Infrastructure & Public Finance, dated February 26, 2024
- Speer Financial, Inc.: Letter from Daniel Forbes, President, dated February 20, 2024
- Stern Brothers: Letter dated February 26, 2024
1. Bond Dealers of America: Letter from Mike Nicholas, Chief Executive Officer, dated November 16, 2017
2. City of San Diego: Letter
3. Global Legal Entity Identifier Foundation: Email from Stephan Wolf dated November 6, 2017
4. Government Finance Officers Association: Letter from Emily Brock, Director, Federal Liaison Center, dated November 27, 2017
5. Michael Paganini: Email dated September 15, 2017
6. National Association of Bond Lawyers: Letter from Alexandra M. MacLennan, President, dated November 17, 2017
7. National Association of Municipal Advisors: Letter from Susan Gaffney, Executive Director, dated November 13, 2017
8. National Federation of Municipal Analysts: Letter from Julie Egan, Chair, and Lisa Washburn, Industry Practices and Procedures Chair, dated November 9, 2017
9. Robert W. Doty: Letter dated November 2, 2017
10. Securities Industry and Financial Markets Association: Letter from Leslie M. Norwood, Managing Director and Associate General Counsel, dated November 15, 2017
11. TMC Bonds: Letter from John S. Craft, Managing Director, dated November 13, 2017
12. Wells Capital Management Incorporated: Letter from Gilbert L. Southwell III, Vice President, dated November 1, 2017
Bank Dealers, Dealers, Municipal Advisors
1. American Bankers Association: Letter from Cristeena G. Naser, Vice President, Center for Securities, Trust and Investments, dated May 27, 2016
2. American Governmental Financial Services Company: E-mail from Robert Doty dated May 31, 2016
3. Bond Dealers of America: Letter from Mike Nicholas, Chief Executive Officer, dated May 27, 2016
4. Breena LLC: E-mail from G. Letti dated March 28, 2016; and e-mail from G. Letti dated May 1, 2016
5. Caine Mitter & Associates Incorporated: E-mail from Thomas Caine dated May 27, 2016
6. Cavanal Hill Investment Management: E-mail from Douglas Benton dated May 2, 2016
7. Charles Schwab Investment Management: Letter from Marie Chandoha, President and Chief Executive Officer, dated May 27, 2016
8. Dixworks LLC: E-mail from Dennis Dix, Jr. dated March 29, 2016
9. George K. Baum & Company: Letter from Guy E. Yandel, Executive Vice President; Dana L. Bjornson, Executive Vice President and Chief Compliance Officer; and Andrew F. Sears, Executive Vice President and General Counsel; dated May 26, 2016
10. Government Finance Officers Association: Letter from Emily Brock, Director, Federal Liaison Center, dated May 27, 2016
11. Investment Company Institute: Letter from Dorothy Donohue, Deputy General Counsel - Securities Regulation, dated May 27, 2016
12. Kane, McKenna Capital, Inc.: Letter from Philip R. McKenna, President, dated April 7, 2016
13. Lawrence Financial Consulting LLC: E-mail from Tom Lawrence dated March 30, 2016; and letter from Tom Lawrence, President, dated May 2, 2016
14. Lewis Young Robertson & Burningham: Letter from Laura D. Lewis, Principal, dated May 26, 2016
15. National Association of Bond Lawyers: Letter from Kenneth R. Artin, President, dated May 27, 2016
16. National Association of Health and Educational Facilities Finance Authorities: Letter from Donna Murr, President; Martin Walke, Advocacy Committee Chairman; and Charles Samuels, General Counsel; dated May 26, 2016
17. National Association of Municipal Advisors: Letter from Terri Heaton, President, dated May 26, 2016
18. National Association of State Treasurers: Letter
19. National Federation of Municipal Analysts: Letter from Lisa Washburn, Chair, dated May 23, 2016
20. Public Financial Management, Inc,: Letter from Leo Karwejna, Chief Compliance Officer, and Cheryl Maddox, General Counsel, dated May 26, 2016
21. Public Resources Advisory Group: Letter from Marianne F. Edmonds, Senior Managing Director, dated May 27, 2016
22. Securities Industry and Financial Markets Association: Letter from Leslie M. Norwood, Managing Director and Associate General Counsel, dated May 26, 2016
23. Securities Industry and Financial Markets Association, Asset Management Group: Letter from Timothy W. Cameron, Asset Management Group - Head, and Lindsey W. Keljo, Vice President and Assistant General Counsel, Asset Management Group, dated May 27, 2016
24. State of Florida, Division of Bond Finance: Letter from J. Ben Watkins III, Director, dated May 27, 2016
25. Sycamore Advisors, LLC: E-mail from Courtney Tobin dated June 8, 2016
26. Thomson Reuters: Letter from Michael C. Demas, Head, Municipal Evaluations, dated May 27, 2016
27. Wake County, North Carolina: Letter from Nicole Kreiser, Debt Manager, dated May 26, 2016
28. WM Financial Strategies: Letter from Joy A. Howard, Principal, dated May 27, 2016
29. Wulff, Hansen & Co.: Letter from Chris Charles, President
30. Zions Bank: Letter from James G. Livingston, Senior Vice President, dated May 25, 2016