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Notice 2009-51 - Request for Comment
Publication date: | Comment due:
Request for Comment: Rule G-37 on Political Contributions and Prohibitions on Municipal Securities Business – Bank and Bank Holding Company Political Action Committee Contributions
Rule Number:

Rule G-37


Comments on MSRB Notice 2009-51 (September 16, 2009)

  1. ABA Securities Association: Letter from Carolyn Walsh, Deputy General Counsel, dated October 30, 2009
  2. BMO Capital Markets GKST Inc.: Letter from Robert J. Stracks, Counsel, dated October 30, 2009
  3. Securities Industry and Financial Markets Association: Letter from Leslie M. Norwood, Managing Director and Associate General Counsel, dated October 30, 2009
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Notice 2009-47 - Request for Comment
Publication date: | Comment due:
Request for Comment Regarding Priority of Orders in Primary Offerings
Rule Number:

Rule G-11, Rule G-17


Comments on MSRB Notice 2009-47 (August 11, 2009)

  1. First Southwest Company: Letter from Carl Giles, Managing Director, dated September 10, 2009
  2. Metropolitan Washington Airports Authority: Letter from Lynn Hampton, CPA, Vice President for Finance and Chief Financial Officer, dated August 18, 2009
  3. Regional Bond Dealers Association: Letter from Michael Decker, Co-Chief Executive Officer, and Mike Nicholas, Co-Chief Executive Officer, dated September 11, 2009
  4. Securities Industry and Financial Markets Association: Letter from Leon J. Bijou, Managing Director and Associate General Counsel, dated September 11, 2009
  5. Siebert Brandford Shank & Co., LLC: Letter from Napoleon Brandford, III, Chairman, dated September 8, 2009
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Notice 2009-43 - Request for Comment
Publication date: | Comment due:
Request for Comment on Additional Increases in Transparency of Municipal Auction Rate Securities and Variable Rate Demand Obligations
Rule Number:

Rule G-8, Rule G-34


Comments on MSRB Notice 2009-43 (July 14, 2009)

  1. Allstate Investments, LLC: Letter from Patricia W. Wilson, Senior Managing Director, Global Alternatives, dated September 1, 2009
  2. BMO Capital Markets GKST Inc: Letter from Robert J. Stracks, Counsel, dated September 1, 2009
  3. First Southwest Company: Letter from Carl Giles, Managing Director, dated August 31, 2009
  4. Regional Bond Dealers Association: Letter from Michael Decker, Co-Chief Executive Officer, and Mike Nicholas, Co-Chief Executive Officer, dated September 1, 2009
  5. Securities Industry and Financial Markets Association: Letter from Leslie M. Norwood, Managing Director and Associate General Counsel, dated September 1, 2009
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Notice 2009-35 - Request for Comment
Publication date: | Comment due:
Request for Comment: Rule G-37 on Political Contributions and Prohibitions on Municipal Securities Busiiness - Bond Ballot Campaign Committee Contributions
Rule Number:

Rule G-37


Comments on MSRB Notice 2009-35 (June 22, 2009) 

  1. BMO Capital Markets: Letter from Robert J. Stracks, Counsel, dated August 7, 2009
  2. George K. Baum & Company: Letter from Robert K. Dalton, Vice Chairman, dated July 30, 2009
  3. George K. Baum & Company, Letter from Kent Lund, Executive Vice President, Chief Compliance Officer, dated August 7, 2009
  4. Morgan Stanley: Letter from Stratford Shields, Managing Director, Head of Public Finance, dated July 30, 2009
  5. Piper Jaffray & Co.: Letter from Frank Fairman, Managing Director, Head of Public Finance Services, and Rebecca Lawrence, Assistant General Counsel, dated August 7, 2009
  6. Regional Bond Dealers Association: Letter from Michael Decker, Co-Chief Executive Officer, and Mike Nicholas, Co-Chief Executive Officer, dated August 7, 2009
  7. Securities Industry and Financial Markets Association: Letter from Leslie M. Norwood, Managing Director and Associate General Counsel, dated August 7, 2009
  8. Stone & Youngberg: Letter from Kenneth E. Williams, President, Chief Executive Officer, dated August 13, 2009
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Notice 2009-20 - Request for Comment
Publication date: | Comment due:
Request for Comment Regarding Settlement of Syndicate Accounts under Rule G-11 and Secondary Market Trading Accounts under Rule G-12
Rule Number:

Rule G-11, Rule G-12


Comments on MSRB Notice 2009-20 (May 12, 2009)

  1. First Southwest Company: Letter from Hill A. Feinberg, Chairman, dated June 26, 2009
  2. Securities Industry and Financial Markets Association: Letter from Leslie M. Norwood, Managing Director and Associate General Counsel, dated June 29, 2009
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