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Notice - Request for Comment
Publication date: | Comment due:
Information for:

Dealers, General Public, Municipal Advisors

Notice 2024-09 - Request for Comment
Publication date: | Comment due:
Information for:

Bank Dealers, General Public, Investors

Rule Number:

Rule G-7, Rule A-12

  1. Association of Registration Management, Inc.: Letter from Richard Izzo, President, dated August 5, 2024 
  2. Bond Dealers of America: Letter from Michael Decker, Senior Vice President, dated August 5, 2024
  3. Frost Bank Capital Markets Division: Letter from Jeff Beckel, SEVP and Director of Capital Markets, dated July 30, 2024 
  4. Frost Bank Capital Markets Division: Email from Trevor Cross dated July 30, 2024
  5. Securities Industry and Financial Markets Association: Letter from Leslie M. Norwood, Managing Director and Associate General Counsel, Head of Municipal Securities, dated August 5, 2024
Notice 2023-11 - Request for Comment
Publication date: | Comment due:
Information for:

Dealers, General Public, Municipal Advisors

All Comments to Notice 2023-11

  1. Advisabilitys: Email from Andrew Boyack dated January 9, 2024
  2. Academy Securities, Inc.: Letter from Michael Boyd, Chief Compliance Officer, dated February 23, 2024
  3. American Securities Association: Letter from Jessica R. Giroux, General Counsel, dated February 26, 2024
  4. Amuni Financial, Inc.: Letter from Mike Petagna, President, dated January 8, 2024
  5. Anonymous: Letter
  6. Bond Dealers of America: Letter from Michael Decker, Senior Vice President, dated February 26, 2024
  7. Clary Consulting Company: Email from Lowell Clary dated February 16, 2024
  8. Derivative Advisors: Letter from Elaine M. Philbrick, Principal, dated December 6, 2023
  9. Dixworks, LLC: Email from Dennis Dix, Jr. dated February 9, 2024
  10. Echo Valley Advisors, LLC: Letter from Julie Needham, President, dated February 23, 2024
  11. Herold & Lantern Investments: Letter from Brad Harris, Director of Fixed Income – Municipal Bonds
  12. Municipal Capital Markets Group, Inc.: Letter from Fred R. Cornwall, President, dated February 26, 2024
  13. National Association of Municipal Advisors: Letter from Susan Gaffney, Executive Director, dated February 26, 2024
  14. Regional Brokers, Inc.: Letter from H. Deane Armstrong, CCO, dated February 26, 2024
  15. Ridgeline Municipal Strategies, LLC: Email from Dmitry Semenov dated December 29, 2023
  16. Sanderlin Securities LLC: Letter from Matthew Kamler, President, dated January 26, 2024
  17. Searle & Co., Inc.: Letter from Robert S. Searle, President, dated February 16, 2024
  18. 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
  19. Shnayder, Yana: Email dated December 13, 2023
  20. 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
  21. Speer Financial, Inc.: Letter from Daniel Forbes, President, dated February 20, 2024
  22. Stern Brothers: Letter dated February 26, 2024
Notice 2023-08 - Request for Comment
Publication date: | Comment due:
Information for:

Bank Dealers, Dealers, General Public, Investors

Rule Number:

Rule G-12

  1. Securities Industry and Financial Markets Association: Letter from Leslie M. Norwood, Managing Director and Associate General Counsel, dated December 15, 2023
Notice 2023-02 - Request for Comment
Publication date: | Comment due:
Information for:

Dealers, General Public, Investors

Rule Number:

Rule G-47, Rule D-15

All Comments to Notice 2023-02

  1. AKF Consulting: Letter from Andrea Feirstein, Managing Director, and Mark Chapleau, Senior Consultant, dated April 20, 2023
  2. Bond Dealers of America: Letter from Michael Decker, Senior Vice President, dated April 17, 2023
  3. College Savings Plans Network: Letter from Rachel Biar, Nebraska Assistant State Treasurer, NEST 529 College Savings Program Director, Chairman, College Savings Plans Network, dated April 17, 2023
  4. Government Finance Officers Association: Letter from Emily Brock, Director, Federal Liaison Center, dated July 21, 2023
  5. McLane, Curtis: Email dated April 19, 2023
  6. my529: Letter from Richard K. Ellis, Executive Director, dated April 17, 2023
  7. Securities Industry and Financial Markets Association: Letter from Leslie M. Norwood, Managing Director and Associate General Counsel, Head of Municipal Securities, dated April 17, 2023
Notice 2022-13 - Request for Comment
Publication date: | Comment due:
Information for:

Issuers, Municipal Advisors

Rule Number:

Rule G-3

All Comments to Notice 2022-13

  1. National Association of Municipal Advisors: Letter from Susan Gaffney, Executive Director, dated January 30, 2023
  2. Securities Industry and Financial Markets Association: Letter from Leslie M. Norwood, Managing Director and Associate General Counsel, dated January 30, 2023
  3. Wulff, Hansen & Co.: Letter from Chris Charles, President, dated December 29, 2022
Notice 2022-11 - Request for Comment
Publication date: | Comment due:
Rule Number:

Rule G-32

All Comments to Notice 2022-11

  1. Bond Dealers of America: Letter from Michael Decker, Senior Vice President, January 17, 2023
  2. Securities Industry and Financial Markets Association: Letter from Leslie M. Norwood, Managing Director and Associate General Counsel, dated January 27, 2023
  3. XBRL US: Letter from Campbell Pryde, President and CEO, dated December 15, 2022
Notice 2022-07 - Request for Comment
Publication date: | Comment due:
Information for:

Bank Dealers

Rule Number:

Rule G-14

All Comments to Notice 2022-07

  1. American Securities Association: Letter from Kelli McMorrow, Head of Government Affairs, dated September 30, 2022
  2. Amuni Financial, Inc.: Letter from Mike Petagna, President, dated August 23, 2022
  3. Bailey, Bill: Email dated August 4. 2022
  4. Belle Haven Investments, L.P.: Letter from Matt Dalton, Chief Executive Officer, dated October 3, 2022
  5. Bernardi Securities, Inc.: Letter from Ronald P. Bernardi, President and CEO, dated September 30, 2022
  6. BetaNXT: Letter from Will Leahey, Head of Regulatory Compliance, dated October 3, 2022
  7. Bond Dealers of America: Letter from Michael Decker, Senior Vice President for Public Policy, dated October 3, 2022
  8. Bryant Bank: Letter from David Long, Executive Vice President, Correspondent Banking/Capital Markets, and Vincent Webb, Managing Director, Bryant Bank Capital Markets, dated September 28, 2022
  9. Cambridge Investment Research, Inc.: Letter from Seth A. Miller, General Counsel, President, Advocacy and Administration, dated October 3, 2022
  10. Cantella & Co., Inc.: Email from Jay Lanstein, Chief Executive Officer and Chief Technology Officer, dated September 16, 2022
  11. Cantone Research, Inc.: Email from Maryann Cantone dated August 2, 2022
  12. Colwell, J.D.: Letter dated September 9, 2022
  13. DeRobbio, Raymond: Email dated August 3, 2022
  14. Dimensional Fund Advisors LP: Letter from Gerard O’Reilly, Co-CEO and Chief Investment Officer, and David A. Plecha, Global Head of Fixed Income, dated September 26, 2022
  15. Estrada Hinojosa & Co., Inc.: Letter from Robert A. Estrada, Chairman (Emeritus), dated October 3, 2022
  16. Falcon Square Capital, LLC: Letter from Melissa P. Hoots, CEO/CCO, dated October 3, 2022
  17. Financial Information Forum: Letter from Howard Meyerson, Managing Director, dated October 3, 2022; Supplemental Letter from Howard Meyerson, Managing Director, dated April 27, 2023
  18. Ford & Associates, Inc.: Letter from Jonathan W. Ford, Senior Vice President, dated September 9, 2022
  19. Hartfield, Titus & Donnelly, LLC: Letter from Edward J. Smith, General Counsel and Chief Compliance Officer, dated September 14, 2022
  20. Herbert J. Sims & Co., Inc.: Letter from Melissa Messina, Executive Vice President, Associate General Counsel, R. Jeffrey Sands, Managing Principal, General Counsel, and William Sims, Managing Principal, dated October 3, 2022
  21. Higgins Capital Management, Inc.: Email from Deborah Higgins dated September 19, 2022
  22. Hilltop Securities: Letter from Lana Calton, Executive Managing Director, Head of Clearing, dated October 3, 2022
  23. Honey Badger Investment Securities, LLC: Letter from Joe Lee, CEO, dated September 30, 2022
  24. ICE Bonds Securities Corporation: Letter from Robert Laorno, General Counsel, dated September 30, 2022
  25. InspereX LLC: Letter from Robert D. Bullington, Vice President, Compliance Officer, dated October 3, 2022
  26. Institutional Securities Corporation: Letter from Scott Hayes, President and CEO, and Chris Neidlinger, CCO, dated September 30, 2022
  27. Investment Company Institute: Letter from Sarah A. Bessin, Associate General Counsel, dated October 3, 2022
  28. Investment Placement Group: Email from Darius Lashkari dated August 2, 2022
  29. Isaak Bond Investments: Letter from John Isaak, Sr. Vice President, dated August 16, 2022
  30. Isaak Bond Investments, Inc.: Letter from Donald J. Lemek, VP-Operations and CFO
  31. Kiley Partners, Inc.: Email from Mike Kiley, Owner, dated September 27, 2022
  32. Madison Paige Securities: Letter from Gary Herschitz, CEO, dated September 30, 2022
  33. Mayes, Christopher: Email dated September 27, 2022
  34. Miner, Kathy: Letter dated October 2, 2022
  35. Municipal Securities Rulemaking Board: Memorandum dated September 12, 2022
  36. Northland Securities Inc.: Letter from Randy Nitzsche, President and CEO, dated October 3, 2022
  37. Oberweis Securities, Inc.: Letter from James W. Oberweis, President, dated September 28, 2022
  38. Regional Brokers, Inc.: Letter from H. Deane Armstrong, CCO, and Joseph A. Hemphill III, CEO, dated October 3, 2022
  39. Robert Blum Municipals, Inc.: Letter from Robert Blum, President, dated September 16, 2022
  40. Roosevelt & Cross, Inc.: Letter from F. Gregory Finn, Chief Executive Officer, dated October 3, 2022
  41. RW Smith & Associates, LLC: Letter from Christopher Ferreri, President, dated September 13, 2022
  42. SAMCO Capital Markets, Inc.: Letter from Lee Maverick, Chief Compliance Officer, dated September 30, 2022
  43. Sanderlin Securities LLC: Letter from Matthew Kamler, President, dated September 27, 2022
  44. Securities Industry and Financial Markets Association and the SIFMA Asset Management Group: Letter from Kenneth E. Bentsen, Jr., President and CEO, dated October 3, 2022
  45. Sentinel Brokers Company, Inc.: Letter from Joseph Lawless, CEO, dated September 30, 2022
  46. Sheedy, Edward: Email dated August 2, 2022
  47. Stern Brothers and Co.: Letter dated October 3, 2022
  48. TRADEliance, LLC: Letter from Jesy LeBlanc and Kat Miller dated September 28, 2022
  49. Tuma, William: Email dated August 8, 2022
  50. Wells Fargo & Company: Letter from Nyron Latif, Head of Operations, Wells Fargo Wealth and Investment Management, and Todd Primavera, Head of Operations, Wells Fargo Corporate and Investment Bank, dated October 3, 2022
  51. Wiley Bros.-Aintree Capital, LLC: Letter from Keener Billups, Managing Director, Municipal Bond Department, dated September 20, 2022
  52. Wintrust Investments, LLC: Email from Thomas Kiernan dated August 2, 2022
  53. Zia Corporation: Email from Glenn Burnett dated September 6, 2022