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Notice 2022-06 - Informational Notice
Publication date:
Information for:

Dealers, Municipal Advisors

Notice 2022-03 - Informational Notice
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Notice 2020-09 - Informational Notice
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Notice 2019-16 - Approval Notice
Publication date:
Information for:

Municipal Advisors

Rule Number:

Rule A-11

Notice 2017-20 - Informational Notice
Publication date:
Information for:

Municipal Advisors

Rule Number:

Rule A-11

Notice 2017-08 - Informational Notice
Publication date:
Notice 2014-09 - Informational Notice
Publication date:
Notice 2011-34 - Request for Comment
Publication date: | Comment due:
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Rule Number:

Rule A-11

1.  Kaplan Financial Consulting, Inc.: E-mail from Dan Kaplan, dated July 29, 2011

2.  Kitahata & Company: E-mail from Gary Kitahata, Principal, dated July 26, 2011

3.  National Association of Independent Public Finance Advisors: Letter from Colette J. Irwin-Knott, President, dated August 29, 2011

4.  National Association of Independent Public Finance Advisors: Letter from Colette J. Irwin-Knott, President, dated September 12, 2011

5.  Repsholdt, John V.: Letter dated August 29, 2011

6.  Securities Industry and Financial Markets Association: Letter from Michael Decker, Managing Director, dated September 12, 2011

Notice 2006-14 - Informational Notice
Publication date:
Compliance Resource
Publication date:
Information for:

Dealers, Municipal Advisors, Municipal Fund Securities