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Notice 2021-16 - Informational Notice
Publication date:
Notice 2021-12 - Request for Comment
Publication date: | Comment due:
Information for:

Bank Dealers, Dealers, Municipal Advisors

1. Bond Dealers of America: Letter from Michael Decker, Senior Vice President, dated January 19, 2022

2. First River Advisory L.L.C.: Letter from Shelley J. Aronson dated January 18, 2022

3. National Association of Municipal Advisors: Letter from Susan Gaffney, Executive Director, dated January 19, 2022

4. Securities Industry and Financial Markets Association: Letter from Leslie M. Norwood, Managing Director and Associate General Counsel, and Matthew Roberts, Assistant Vice President, dated January 19, 2022

Notice 2021-02 - Informational Notice
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Notice 2020-17 - Informational Notice
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Notice 2020-13 - Approval Notice
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Compliance Resource
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Compliance Resource
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Notice 2018-18 - Regulatory Reminder
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Information for:

General Public, Investors, Issuers, Municipal Advisors

Compliance Resource
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Notice 2018-09 - Request for Comment
Publication date: | Comment due:
Information for:

Bank Dealers, Dealers

1. Bond Dealers of America: Letter from Mike Nicholas, Chief Executive Officer, dated July 16, 2018

2. Financial Services Institute: Letter from Robin Traxler, Vice President, Regulatory Affairs and Associate General Counsel, dated July 16, 2018

3. Securities Industry and Financial Markets Association: Letter from Leslie M. Norwood, Managing Director and Associate General Counsel, dated July 16, 2018

 

Compliance Resource
Publication date:
Information for:

Bank Dealers, Dealers, General Public, Investors, Issuers, Municipal Advisors

Compliance Resource
Publication date:
Information for:

Bank Dealers, Dealers, General Public, Investors, Issuers, Municipal Advisors

Rule Number:

Rule G-8

Notice 2017-10 - Approval Notice
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Notice 2017-08 - Informational Notice
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Notice 2017-03 - Informational Notice
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Compliance Resource
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Notice 2016-03 - Approval Notice
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Notice 2015-21 - Informational Notice
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