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

Dealers, Municipal Advisors

Notice 2022-03 - Informational Notice
Publication date:
Compliance Resource
Publication date:
Information for:

Dealers, Municipal Advisors, Municipal Fund Securities

Rule Number:

Rule A-12

Notice 2020-09 - Informational Notice
Publication date:
Compliance Resource
Publication date:
Information for:

Bank Dealers, Dealers, Municipal Advisors

Rule Number:

Rule A-12

Compliance Resource
Publication date:
Compliance Resource
Publication date:
Notice 2017-08 - Informational Notice
Publication date:
Notice 2015-13 - Informational Notice
Publication date:
Information for:

Bank Dealers, Dealers, Municipal Advisors

Rule Number:

Rule A-12, Rule A-13

Notice 2014-10 - Informational Notice
Publication date:
Information for:

Municipal Advisors

Rule Number:

Rule A-12

Notice 2014-05 - Informational Notice
Publication date:
Compliance Resource
Publication date:
Information for:

Bank Dealers, Dealers, Municipal Advisors

Rule Number:

Rule A-12

Notice 2013-19 - Request for Comment
Publication date: | Comment due:
Information for:

Bank Dealers, Dealers, Municipal Advisors

Rule Number:

Rule A-12


1. Financial Services Institute: Letter from David T. Bellaire, Executive Vice President and General Counsel, dated September 20, 2013

2. National Association of Independent Public Finance Advisors: Letter from Jeanine Rodgers Caruso, President, dated September 20, 2013

3. Securities Industry and Financial Markets Association: Letter from Leslie M. Norwood, Managing Director and Associate General Counsel, dated September 20, 2013

4. U.S. Bancorp Investments, Inc.: E-mail from Herbert Neufeld dated August 19, 2013

Notice 2011-15 - Informational Notice
Publication date:
Notice 2010-55 - Informational Notice
Publication date:
Compliance Resource
Publication date:
Information for:

Bank Dealers, Dealers, Municipal Advisors

Rule Number:

Rule A-12

Compliance Resource
Publication date:
Information for:

Dealers, Municipal Advisors, Municipal Fund Securities