Select regulatory documents by category:
- Association of Registration Management, Inc.: Letter from Richard Izzo, President, dated August 5, 2024
- Bond Dealers of America: Letter from Michael Decker, Senior Vice President, dated August 5, 2024
- Frost Bank Capital Markets Division: Letter from Jeff Beckel, SEVP and Director of Capital Markets, dated July 30, 2024
- Frost Bank Capital Markets Division: Email from Trevor Cross dated July 30, 2024
- 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
1. Bartholomew, Patricia E., 2014 Chair, Securities Industry Council on Continuing Education, and Bartol, William E., 2013 Chair, Securities Industry Council on Continuing Education: Letter dated January 13, 2014
2. Bond Dealers of America: Letter from Michael Nicholas, Chief Executive Officer, dated January 13, 2014
3. Diamant Investment Corporation: E-mail from Herbert Diamant dated December 13, 2013
4. Financial Services Institute: Letter from David T. Bellaire, Executive Vice President and General Counsel, dated January 13, 2014
5. Investment Company Institute: Letter from Tamara K. Salmon, Senior Associate Counsel, dated January 13, 2014
6. MetLife Securities, Inc.: Letter from Jennifer Lewis, Corporate Counsel, dated January 13, 2014
7. National Society of Compliance Professionals: Letter from Judy Werner, Executive Director, dated January 14, 2014
8. Romano Wealth Management: E-mail from Joe Romano dated January 13, 2014
9. RW Smith & Associates, Inc.: E-mail from Paige Pierce dated January 13, 2014
10. Securities Industry and Financial Markets Association: Letter from David L. Cohen, Managing Director and Associate General Counsel, dated January 13, 2014
11. Wulff, Hansen & Co.: Letter from Chris Charles, President, dated January 9, 2014