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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 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

 

Notice 2014-18 - Request for Comment
Publication date: | Comment due:
Information for:

Bank Dealers, Dealers, Municipal Advisors


1.  Anonymous: Letter

2.  Bond Dealers of America: Letter from Michael Nicholas, Chief Executive Officer, dated December 8, 2014

3.  Chris Taylor: E-mail dated October 23, 2014

4.  FCS Group: E-mail from Taree Bollinger dated October 24, 2014

5.  Investment Company Institute: Letter from Tamara K. Salmon, Senior Associate Counsel, dated December 5, 2014

6.  National Association of Municipal Advisors: Letter from Terri Heaton, President, dated December 8, 2014

7.  PFM Group: Letter from Joseph J. Connolly, Counsel, dated November 7, 2014

8.  Securities Industry and Financial Markets Association: Letter from Leslie M. Norwood, Managing Director and Associate General Counsel, dated December 8, 2014

Notice 2014-15 - Request for Comment
Publication date: | Comment due:
Information for:

Bank Dealers, Dealers, Municipal Advisors


1.  American Council of Engineering Companies: Letter from David A. Raymond, President and CEO, dated October 1, 2014

2.  Anonymous: E-mail dated October 1, 2014

3.  Bond Dealers of America: Letter from Michael Nicholas, Chief Executive Officer, dated October 1, 2014

4.  Bond Dealers of America: Letter from Michael Nicholas, Chief Executive Officer, dated October 8, 2014

5.  Caplin & Drysdale: Letter from Trevor Potter and Matthew T. Sanderson dated September 30, 2014

6.  Castle Advisory Company LLC: E-mail from Stephen Schulz dated August 18, 2014.

7.  Center for Competitive Politics: Letter from Allen Dickerson, Legal Director, dated October 1, 2014

8.  Dave A. Sanchez: Letter dated November 5, 2014

9.  Hardy Callcott: E-mail dated September 9, 2014

10.  National Association of Independent Public Finance Advisors: Letter from Jeanine Rodgers Caruso, President, dated October 1, 2014

11.  Public Citizen, et. al.: Letter dated October 1, 2014 from Bartlett Naylor, Financial Policy Advocate, and Craig Holman, Government Affairs Lobbyist, Public Citizen; Ron Fein, Legal Director, Free Speech for People; John Harrington, President, Harrington Investments, Inc.; New Progressive Alliance; American Federation of State, County and Municipal Employees; ReFund America Project at the Roosevelt Institute; U.S. PIRG; Consumer Federation of America; and Americans for Financial Reform

12.  Securities Industry and Financial Markets Association: Letter from Leslie M. Norwood, Managing Director and Associate General Counsel, dated September 30, 2014

13.  WM Financial Strategies: Letter from Joy A. Howard, Principal, dated October 1, 2014

 

Notice 2014-12 - Request for Comment
Publication date: | Comment due:
Information for:

Municipal Advisors

Rule Number:

Rule G-8, Rule G-9

1.  American Bankers Association: Letter from Cristeena Naser, Vice President, Center for Securities, Trust & Investments, dated August 25, 2014

2.  American Council of Engineering Companies: Letter from David A. Raymond, President and CEO, dated August 25, 2014

3.  Bart Leary: E-mail dated July 23, 2014

4.  Bond Dealers of America: Letter from Michael Nicholas, Chief Executive Officer, dated August 25, 2014

5.  Columbia Capital Management, LLC: Letter from Jeff White, Principal, dated August 25, 2014

6.  Dave A. Sanchez: Letter dated August 25, 2014

7.  Financial Services Roundtable: Letter from Richard Foster, Vice President and Senior Counsel for Regulatory and Legal Affairs, dated August 25, 2014

8.  Florida Division of Bond Finance: Letter from J. Ben Watkins III, Director, dated August 22, 2014

9.  Government Finance Officers Association: Letter from Dustin McDonald, Director, Federal Liaison Center, dated September 2, 2014

10.  Investment Company Institute: Letter from Tamara K. Salmon, Senior Associate Counsel, dated August 19, 2014

11.  Lewis Young Robertson & Burningham, Inc.: Letter from Laura D. Lewis, Principal, dated August 25, 2014

12.  National Association of Independent Public Finance Advisors: Letter from Jeanine Rodgers Caruso, President, dated August 25, 2014

13.  New York State Bar Association, Business Law Section, Securities Regulation Committee: Letter from Peter W. LaVigne, Chair of the Committee, dated August 27, 2014

14.  Piper Jaffray: Letter from Frank Fairman, Managing Director, Head of Public Finance Services, dated August 25, 2014

15.  Securities Industry and Financial Markets Association: Letter from Leslie M. Norwood, Managing Director and Associate General Counsel, dated August 25, 2014

16.  Southern Municipal Advisors, Inc.: Letter from Michael C. Cawley, Senior Consultant, dated August 25, 2014

17.  Wells Fargo Advisors, LLC: Letter from Robert J. McCarthy, Director of Regulatory Policy, dated August 25, 2014

18.  WM Financial Strategies: Letter from Joy A. Howard, Principal, dated August 25, 2014

19.  Zions First National Bank: Letter from W. David Hemingway, Executive Vice President, dated August 25, 2014

 

Notice 2014-04 - Request for Comment
Publication date: | Comment due:
Information for:

Municipal Advisors

Rule Number:

Rule G-8, Rule G-9


1.  American Bankers Association: Letter from Cristeena G. Naser, Vice President and Senior Counsel, dated May 1, 2014

2.  Bond Dealers of America: Letter from Michael Nicholas, Chief Executive Officer, dated April 28, 2014

3.  Edwin C. Blitz Investments, Inc.: E-mail from Edwin Blitz dated March 18, 2014

4.  Investment Company Institute: Letter from Tamara K. Salmon, Senior Associate Counsel, dated April 15, 2014

5.  LIATI Group, LLC: E-mail from Weldon Fleming dated March 10, 2014

6.  MSA Professional Services, Inc.: Letter from Gilbert A. Hantzsch, Chief Executive Officer, dated April 28, 2014

7.  National Association of Independent Public Finance Advisors: Letter from Jeanine Rodgers Caruso, President, dated April 28, 2014

8.  Raftelis Financial Consultants, Inc.: Letter from Alexis F. Warmath, Vice President, and Christopher P.N. Woodcock, President, Woodcock & Associates, Inc., dated April 28, 2014

9.  Roberts Consulting, LLC: E-mail from Jonathan Roberts dated March 13, 2014

10.  Securities Industry and Financial Markets Association: Letter from David L. Cohen, Managing Director, Associate General Counsel, dated April 25, 2014

11.  Tibor Partners Inc.: E-mail from William Johnston dated February 25, 2014

12.  Yuba Group: Letter from Linda Fan, Managing Partner, dated April 28, 2014

 

Notice 2014-01 - Request for Comment
Publication date: | Comment due:
Information for:

Municipal Advisors

Rule Number:

Rule G-8, Rule G-9


1.  Acacia Financial Group, Inc.: Letter from Kim M. Whelan, Co-President, dated March 10, 2014

2.  American Bankers Association: Letter from Cristeena G. Naser, Vice President and Senior Counsel, dated March 4, 2014

3.  American Council of Engineering Companies: Letter from David A. Raymond, President and CEO, dated March 7, 2014 

4.  American Public Transportation Association: Letter from Michael P. Melaniphy, President and CEO, dated March 10, 2014

5.  Bond Dealers of America: Letter from Michael Nicholas, Chief Executive Officer, dated March 10, 2014

6.  Cape Cod Five Cents Savings Bank: Letter from Dorothy A. Savarese, President and Chief Executive Officer

7.  Chancellor Financial Associates: E-mail from William J. Caraway, President, dated January 14, 2014

8.  Coastal Securities: Letter from Chris Melton, Executive Vice President, dated March 10, 2014

9.  College Savings Foundation: Letter from Mary G. Morris, Chair, dated March 10, 2014

10.  College Savings Plans Network: Letter from Betty Everitt Lochner, Director, Guaranteed Education Tuition Program, dated March 10, 2014

11.  Cooperman Associates: Letter from Joshua G. Cooperman dated March 10, 2014

12.  Erika Miller: E-mail dated February 4, 2015

13.  FCS Group: Letter from Taree Bollinger, Vice President, dated March 17, 2014

14.  First River Advisory L.L.C.: Letter from Shelley J. Aronson, President, dated January 16, 2014

15.  First Southwest Company: Letter from Hill A. Feinberg, Chairman and Chief Executive Officer, and Michael G. Bartolotta, Vice Chairman, dated March 7, 2014

16.  Frost Bank: Letter from William H. Sirakos, Senior Executive Vice President, dated March 10, 2014

17.  George K. Baum & Company: Letter from Guy E. Yandel, EVP and Head of Public Finance, Dana L. Bjornson, EVP, CFO and Chief Compliance Officer, and Andrew F. Sears, SVP and General Counsel, dated March 10, 2014

18.  Government Finance Officers Association: Letter from Dustin McDonald, Director, Federal Liasion Center, dated March 13, 2014

19.  Government Investment Officers Association: Letter from Laura Glenn, President, et. al., dated March 7, 2014

20.  Investment Company Institute: Letter from Tamara K. Salmon, Senior Associate Counsel, dated March 4, 2014

21.  J.P. Morgan: Letter from Paul N. Palmeri, Managing Director, dated March 10, 2014

22.  Kutak Rock LLP: Letter from John J. Wagner dated March 10, 2014

23.  Lamont Financial Services Corporation: Letter from Robert A. Lamb, President, dated March 10, 2014

24.  Lewis Young Robertson & Burningham, Inc.: Letter from Laura D. Lewis, Principal, dated March 3, 2014

25.  MSA Professional Services, Inc.: Letter from Gilbert A. Hantzsch, CEO, dated March 10, 2014

26.  National Association of Bond Lawyers: Letter from Allen K. Robertson, President, dated March 18, 2014

27.  National Association of Health and Educational Facilities Finance Authorities: Letter from Pamela Lenane, President, David J. Kates, Chapman and Cutler LLP, and Charles A. Samuels, Mintz Levin, dated March 10, 2014

28.  National Association of Independent Public Finance Advisors: Letter from Jeanine Rodgers Caruso, President, dated March 10, 2014

29.  National Healthcare Capital LLC: Letter from Richard Plumstead

30.  New York State Bar Association, Business Law Section, Securities Regulation Committee: Letter from Peter W. LaVigne, Chair of the Committee, dated March 12, 2014

31.  Northland Securities, Inc.: Letter from John R. Fifield, Jr., Director of Public Finance/Senior Vice President, dated March 7, 2014 

32.  Oppenheimer & Co. Inc.: E-mail from John Rodstrom dated March 10, 2014

33.  Parsons Brinckerhoff Advisory Services, Inc.: Letter from Mark E. Briggs, President, dated March 10, 2014

34.  Piper Jaffray: Letter from Frank Fairman, Managing Director, Head of Public Finance Services, dated March 10, 2014

35.  Public Financial Management, Inc.: Letter from John H. Bonow, Chief Executive Officer, dated March 10, 2014

36.  Public Resources Advisory Group: Letter from Thomas Huestis dated March 10, 2014

37.  Raftelis Financial Consultants, Inc.: Letter from Lex Warmath dated March 10, 2014

38.  Securities Industry and Financial Markets Association: Letter from Leslie M. Norwood, Managing Director and Associate General Counsel, dated March 10, 2014

39.  Sutherland Asbill & Brennan LLP: Letter from Michael B. Koffler dated March 10, 2014

40.  Wells Fargo Advisors, LLC: Letter from Robert J. McCarthy, Director of Regulatory Policy, dated March 10, 2014

41.  Winters & Co. Advisors, LLC: Letter from Christopher J. Winters dated March 10, 2014

42.  WM Financial Strategies: Letter from Joy A. Howard, Principal, dated March 10, 2014

43.  Woodcock & Associates, Inc.: E-mail from Christopher Woodcock dated January 14, 2014

44.  Wulff, Hansen & Co.: Letter from Chris Charles, President, dated March 17, 2014

45.  Yuba Group: Letter from Linda Fan, Managing Partner, dated March 7, 2014

46.  Zions First National Bank: Letter from W. David Hemingway, Executive Vice President, dated March 10, 2014

 

Notice 2013-07 - Request for Comment
Publication date: | Comment due:
Information for:

Bank Dealers, Dealers

Rule Number:

Rule G-8, Rule G-19

1.  Bond Dealers of America: Letter from Michael Nicholas, Chief Executive Officer, dated May 6, 2013

2.  College Savings Foundation: Letter from Roger Michaud, Chairman, dated May 6, 2013

3.  College Savings Plans Network: Letter from Michael L. Fitzgerald, Treasurer of Iowa and Chairman, dated May 6, 2013

4.  Financial Services Institute: Letter from David T. Bellaire, Executive Vice President and General Counsel, dated May 6, 2013

5.  Investment Company Institute: Letter from Tamara K. Salmon, Senior Associate Counsel, dated May 5, 2013

6.  Retail Investor: Email from Retail Investor dated August 25, 2013

7.  Securities Industry and Financial Markets Association: Letter from David L. Cohen, Managing Director, Associate General Counsel, dated May 6, 2013

8.  Wells Fargo Advisors, LLC: Letter from Robert J. McCarthy, Director of Regulatory Policy, dated May 6, 2013

Notice 2012-50 - Request for Comment
Publication date: | Comment due:
Information for:

Bank Dealers, Dealers, Municipal Advisors


1.  Bond Dealers of America: Letter from Michael Nicholas, Chief Executive Officer, dated November 2, 2012

2.  Dorsey & Company, Inc.: Letter from Steven Rueb, Vice President, dated November 14, 2012

3.  Edward D. Jones & Co., L.P.: Letter from David Fischer-Lodike, Capital Markets & Operations Compliance, dated November 2, 2012

4.  Financial Planning Association: Letter from David A. Cohen, Assistant Director - Government Relations, dated November 2, 2012

5.  Government Finance Officers Association: Letter from Susan Gaffney, Director, Federal Liaison Center, dated November 5, 2012

6.  Investment Company Institute: Letter from Dorothy Donohue, Deputy General Counsel - Securities Regulation, dated November 2, 2012

7.  National Association of Independent Public Finance Advisors: Letter from Jeanine Rodgers Caruso, President, dated November 2, 2012

8.  Rhode Island Health and Educational Building Corporation: Letter from Robert E. Donovan, Executive Director, dated October 15, 2012

9.  Securities Industry and Financial Markets Association: Letter from David L. Cohen, Managing Director, Associate General Counsel, dated November 2, 2012

10.  Vanguard: Letter from Christopher Alwine, Head of Municipal Bond Group, dated November 2, 2012

Notice 2012-43 - Request for Comment
Publication date: | Comment due:
Information for:

Bank Dealers, Dealers

Rule Number:

Rule G-8, Rule G-37


1.  Barclays: Letter from Robert Taylor, Managing Director, Head of Municipal Finance, dated September 17, 2012

2.  California Association of County Treasurers and Tax Collectors: Letter from Wayne Hammar, President, dated September 13, 2012

3.  Center for Competitive Politics: Letter from Allen Dickerson, Legal Director, dated September 17, 2012

4.  Government Financial Strategies Inc.: Letter from Robert W. Doty, General Counsel, dated September 17, 2012

5.  Magis Advisors: Letter from Timothy J. Schaefer, President/Principal Owner, dated September 14, 2012

6.  Morgan Stanley: Letter from Stratford Shields, Managing Director, dated September 17, 2012

7.  National Association of Independent Public Finance Advisors: Letter from Colette J. Irwin-Knott, President, dated September 17, 2012

8.  Securities Industry and Financial Markets Association: Letter from Leslie M. Norwood, Managing Director and Associate General Counsel, dated September 17, 2012

Notice 2012-13 - Request for Comment
Publication date: | Comment due:
Information for:

1.  Alamo Capital: E-mail from Bill Mullally dated March 9, 2012

2.  Bond Dealers of America: Letter from Michael Nicholas, Chief Executive Officer, dated April 13, 2012

3.  CFA Institute: Letter from Kurt N. Schacht, Managing Director, Standards and Financial Market Integrity, and James C. Allen, Head, Capital Markets Policy, dated April 13, 2012

4.  Edward D. Jones & Co., L.P.: Letter from David E. Fischer-Lodike, Capital Markets and Operations Compliance, dated April 13, 2012

5.  Full Life Financial LLC: Letter from Keith Newcomb, Portfolio Manager, dated April 13, 2012

6.  Government Finance Officers Association: Letter from Susan Gaffney, Director, Federal Liaison Center, dated April 13, 2012

7.  Investment Company Institute: Letter from Dorothy Donohue, Deputy General Counsel-Securities Regulation, dated April 13, 2012

8.  Li, Richard: Letter dated March 7, 2012

9.  Melton, Chris: E-mail dated April 13, 2012

10.  National Association of Independent Public Finance Advisors: Letter from Colette J. Irwin-Knott, President, dated April 13, 2012

11.  Securities Industry and Financial Markets Association: Letter from David L. Cohen, Managing Director, Associate General Counsel, dated April 13, 2012

12.  Thornburg Investment Management: Letter from Josh Gonze, Chris Ryon, and Chris Ihlefeld, Co-Portfolio Managers, dated March 12, 2012

13.  Vanguard: Letter from Christopher Alwine, Head of Municipal Bond Group, dated April 13, 2012

14.  Wells Fargo Advisors: Letter from Ronald C. Long, Director of Regulatory Affairs, dated April 13, 2012

Notice 2011-50 - Request for Comment
Publication date: | Comment due:
Information for:

Rule Number:

Rule G-8, Rule G-9


1.  Bond Dealers of America: Letter from Michael Nicholas, Chief Executive Officer, dated November 3, 2011

2.  Dolan, Tom: Letter dated October 21, 2011

3.  Hartfield, Titus & Donnelly, LLC: Letter from Mark J. Epstein, President and CEO, dated November 3, 2011

4.  Knight BondPoint: Letter from Marshall Nicholson, Managing Director, dated November 3, 2011

5.  Regional Brokers, Inc.: Letter from Joseph A. Hemphill III, President, and H. Deane Armstrong, CCO, dated November 1, 2011

6.  Securities Industry and Financial Markets Association: Letter from Leslie M. Norwood, Managing Director and Associate General Counsel, dated November 2, 2011

7.  TMC Bonds L.L.C.: Letter from Thomas S. Vales, Chief Executive Officer, dated November 3, 2011

8.  Vista Securities, Inc.: Letter from Paul Larkin, President, dated November 1, 2011

9.  Wolfe & Hurst Bond Brokers, Inc.: Letter from O. Gene Hurst, President, dated November 3, 2011

Notice 2011-28 - Request for Comment
Publication date: | Comment due:
Information for:

Rule Number:

Rule G-8, Rule G-9

1.  Bond Dealers of America: Letter from Mike Nicholas, Chief Executive Officer, dated June 24, 2011

2.  Bradley Payne LLC: Letter from John B. Payne, Principal, dated May 25, 2011

3.  Dixworks LLC: Letter from Dennis Dix, Jr., Principal, dated June 1, 2011

4.  First Southwest: Letter from Robert Coulter, Senior Vice President, Chief Administrative Officer, dated June 23, 2011

5.  Leigh Fisher: Letter from Nicholas Davidson, President, dated June 22, 2011

6.  National Association of Independent Public Finance Advisors: Letter from Colette J. Irwin-Knott, President, dated June 24, 2011

7.  Securities Industry and Financial Markets Association: Letter from David L. Cohen, Managing Director, Associate General Counsel, dated June 24, 2011

8.  Third Party Marketers Association: Letter from Lisa Roth, Board Director, dated June 13, 2011

Notice 2011-18 - Request for Comment
Publication date: | Comment due:
Information for:


1.  American Municipal Securities, Inc.: Letter from John C. Petagna, Jr., President, dated April 26, 2011

2.  Barker, Bill: E-mail dated April 18, 2011

3.  Bond Dealers of America: Letter from Mike Nicholas, Chief Executive Officer, dated April 21, 2011

4.  Chapdelaine & Co.: Letter from August J. Hoerrner, President, dated May 5, 2011

5.  Conners & Company, Inc.: E-mail from Jay White dated April 13, 2011

6.  Foard, Dale: E-mail dated April 21, 2011

7.  Hartfield, Titus & Donnelly, LLC: Letter from Mark J. Epstein, President and Chief Executive Officer, dated April 21, 2011

8.  KeyBanc Capital Markets Inc.: E-mail from Michael A. Burrello, Managing Director, Municipal Trading and Underwriting, dated April 21, 2011

9.  Kiley Partners, Inc.: E-mail from Michael Kiley dated April 12, 2011

10.  Knight BondPoint: Letter from Marshall Nicholson, Managing Director, dated April 21, 2011

11.  M.E. Allison & Co., Inc.: E-mail from Christopher R. Allison, Chief Financial Officer, dated April 20, 2011

12.  National Alliance Securities: E-mail from Bob Barnette, Municipal Trader, dated April 21, 2011

13.  Oppenheimer & Co., Inc.: Letter from Marty Campbell, Senior Director, Municipal Underwriting & Trading

14.  Potratz, Jay: E-mail dated April 21, 2011

15.  R. Seelaus & Co., Inc.: E-mail from Richard Seelaus dated April 13, 2011

16.  Regional Brokers, Inc.: Letter from Joseph A. Hemphill, III, CEO, and H. Deane Armstrong, CCO, dated April 21, 2011

17.  Regional Brokers, Inc.: Letter from Joseph A. Hemphill, III, President and CEO, and H. Deane Armstrong, CCO, dated May 12, 2011

18.  RH Investment Corporation: Letter from Andrew L. "Bud" Byrnes, III, Chief Executive Officer, dated April 21, 2011

19.  Robbins, Leonard Jack: Letter dated May 1, 2011

20.  RW Smith & Associates, Inc.: Letter from Paige W. Pierce, President and CEO, dated April 27, 2011

21.  Securities Industry and Financial Markets Association: Letter from Leslie M. Norwood, Managing Director and Associate General Counsel, dated April 29, 2011

22.  Securities Industry and Financial Markets Association: Letter from Leslie M. Norwood, Managing Director and Associate General Counsel, dated April 29, 2011

23.  Seidel & Shaw, LLC: Letter from Thomas W. Shaw, President

24.  Sentinel Brokers Company, Inc.: E-mail from Joseph M. Lawless, President, dated April 12, 2011

25.  Sentinel Brokers Company, Inc.: E-mail from Joseph M. Lawless, President, dated April 13, 2011

26.  Seven Points Capital: E-mail from Jerry Racasi dated April 13, 2011

27.  Stifel, Nicolaus & Company, Incorporated: E-mail from Andy Jackson dated April 20, 2011

28.  Stoever Glass & Co.: Letter from Frederick J. Stoever, President, dated April 15, 2011

29.  TheMuniCenter, LLC: Letter from Thomas S. Vales, Chief Executive Officer, dated April 21, 2011

30.  Tradeweb Markets LLC: Letter from John Cahalane, Managing Director, Head of Tradeweb Retail, dated May 3, 2011

31.  Walsh, John: E-mail dated April 21, 2011

32.  Wiley Bros.-Aintree Capital, LLC: E-mail from Keener Billups, Managing Director, dated April 26, 2011, corrects Wiley Bros.-Aintree Capital, LLC: E-mail from Keener Billups, Managing Director, dated April 13, 2011

33.  William Blair: E-mail from Tom Greene dated April 21, 2011

34.  Welbourn, Steve: E-mail dated April 21, 2011

35.  Wolfe & Hurst Bond Brokers, Inc.: Letter from O. Gene Hurst, President, dated April 25, 2011, corrects Wolfe & Hurst Bond Brokers, Inc.: Letter from O. Gene Hurst, President, dated April 21, 2011

36.  Ziegler Capital Markets: E-mail from Kathleen R. Murphy dated April 13, 2011

Notice 2011-16 - Request for Comment
Publication date: | Comment due:
Information for:


1. Catholic Finance Corporation: Letter from Michael P. Schaefer, Executive Director, dated February 16, 2011

2. Catholic Finance Corporation: Letter from Michael P. Schaefer, Executive Director, dated April 5, 2011

3. Fisher, Robert: E-mail dated April 6, 2011

4. Municipal Regulatory Consulting LLC: Letter from David Levy, Principal, dated April 1, 2011

5. National Association of Independent Public Finance Advisors: Letter from Colette J. Irwin-Knott, President, dated April 1, 2011

6. Public Financial Management, Inc.: Letter from Joseph J. Connolly, General Counsel, dated April 4, 2011

7. Securities Industry and Financial Markets Association: Letter from Leslie M. Norwood, Managing Director and Associate General Counsel, dated April 5, 2011

8. WM Financial Strategies: Letter from Joy A. Howard, Principal, dated April 2, 2011

Notice 2011-04 - Request for Comment
Publication date: | Comment due:
Information for:

1.  Acacia Financial Group, Inc.: Letter from Kim M. Whelan, Co-President, dated February 25, 2011

2.  American Bankers Association: Letter from Cristeena G. Naser, Senior Counsel, dated February 25, 2011

3.  American Governmental Financial Services: E-mail from Robert Doty, President, dated March 1, 2011

4.  BMO Capital Markets GKST Inc.: Letter from Robert J. Stracks, Counsel, dated February 25, 2011

5.  Callcott, W. Hardy: Letter dated February 8, 2011

6.  Fisher, Robert: E-mail dated February 25, 2011

7.  G.L. Hicks Financial LLC: E-mail from Dareth Goulding, dated January 14, 2011

8.  H.J. Umbaugh & Associates: Letter from Gerald G. Malone, dated February 24, 2011

9.  National Association of Independent Public Finance Advisors: Letter from Colette Irwin-Knott, President, dated February 24, 2011

10.  Repex & Co., Inc.: E-mail from Erich Sokolower, dated January 14, 2011

11.  Securities Industry and Financial Markets Association: Letter from Leslie M. Norwood, Managing Director and Associate General Counsel, dated February 25, 2011

12.  State of Texas: Letter from Susan Combs, Texas Comptroller of Public Accounts, dated February 25, 2011

13.  State of Texas: Letter from Charles B. McDonald, Assistant Attorney General, Office of Attorney General of Texas, dated February 25, 2011

14.  T. Rowe Price: Letter from David Oestreicher, Chief Legal Counsel, dated February 25, 2011

15.  The PFM Group: Letter from Joseph J. Connolly, General Counsel, dated February 23, 2011

16.  WM Financial Strategies: Letter from Joy A. Howard, Principal, dated February 21, 2011

Notice 2010-35 - Request for Comment
Publication date: | Comment due:
Information for:


Comments on MSRB Notice 2010-35 (September 9, 2010)

1.  Associated Bond Brokers, Inc.: Letter from Pamela M. Miller, President, dated November 10, 2010
2.  Hartfield, Titus & Donnelly, LLC: Letter from Mark J. Epstein, President, dated November 22, 2010
3.  Regional Brokers, Inc.: Letter from Joseph A. Hemphill, III, CEO, and H. Deane Armstrong, CCO, dated November 15, 2010
4.  RW Smith & Associates: E-mail from S. Lauren Heyne, Chief Compliance Officer, dated November 19, 2010
5.  Securities Industry and Financial Markets Association: Letter from Leslie M. Norwood, Managing Director and Associate General Counsel, dated November 15, 2010
6.  TheMuniCenter, L.L.C.: Letter from Thomas S. Vales, Chief Executive Officer, dated November 10, 2010
7.  Wolfe & Hurst Bond Brokers, Inc.: Letter from O. Gene Hurst, dated November 5, 2010
8.  Wolfe & Hurst Bond Brokers, Inc.: Letter from O. Gene Hurst, dated November 29, 2010

Notice 2009-43 - Request for Comment
Publication date: | Comment due:
Information for:

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
Notice 2004-32 - Request for Comment
Publication date: | Comment due:
Notice 2004-11 - Request for Comment
Publication date: | Comment due: