Select regulatory documents by category:
Bank Dealers, Dealers, Municipal Advisors
Rule G-3, Rule G-7, Rule G-8, Rule G-9, Rule G-10, Rule G-11, Rule G-12, Rule G-13, Rule G-14, Rule G-15, Rule G-17, Rule G-18, Rule G-19, Rule G-20, Rule G-21, Rule G-23, Rule G-27, Rule G-32, Rule G-34, Rule G-37, Rule G-40, Rule G-42, Rule G-44, Rule G-45, Rule G-47, Rule G-48, Rule A-11, Rule A-12, Rule A-13, Rule D-10
Bank Dealers, Dealers, Investors, Municipal Advisors
Municipal Advisors
All Comments to Notice 2019-08
1. Bernardi Securities, Inc.: Letter from Lou Lamberti, Sr. Vice President, dated May 24, 2019
2. Bloomberg L.P.: Letter from Peter Warms, Senior Manager, Entity and Identifier Services, dated May 28, 2019
3. Bond Dealers of America: Letter from Michael Nicholas, Chief Executive Officer, dated May 28, 2019
4. Dixworks LLC: Letter from Dennis Dix, Jr., dated March 4, 2019
5. Lamont Financial Services Corporation: Letter from Robert A. Lamb, President, dated May 7, 2019
6. National Association of Municipal Advisors: Letter from Susan Gaffney, Executive Director, dated May 28, 2019
7. Securities Industry and Financial Markets Association: Letter from Leslie M. Norwood, Managing Director and Associate General Counsel, dated May 28, 2019
8. Municipal Solutions, Inc.: Letter from Jeffrey R. Smith, President, dated May 28, 2019
Bank Dealers, Dealers, General Public, Investors, Issuers, Municipal Advisors
Bank Dealers, Dealers, Municipal Advisors
Bank Dealers, Issuers, Municipal Advisors
1. Acacia Financial Group, Inc.: Letter from Noreen P. White, Co-President, and Kim M. Whelan, Co-President, dated June 29, 2017
2. American Bankers Association: Letter from Cristeena G. Naser, Vice President and Senior Counsel, Center for Securities, Trust and Investment, dated June 30, 2017
3. Bloomberg L.P.: Letter from Peter Warms, Senior Manager of Fixed Income, Entity, Regulatory Content and Symbology
4. Bond Dealers of America: Letter from Mike Nicholas, Chief Executive Officer, dated June 29, 2017
5. Center for Municipal Finance: Letter from Marc D. Joffe, President, dated June 28, 2017
6. Eastern Bank: Letter
7. Fieldman Rolapp & Associates: Letter from Adam S. Bauer, Chief Executive Officer and President, dated June 30, 2017
8. Government Capital Securities Corp: Email from Ted Christensen dated June 1, 2017
9. Government Finance Officers Association: Letter from Emily Brock, Director, Federal Liaison Center, dated June 30, 2017
10. National Association of Municipal Advisors: Letter from Susan Gaffney, Executive Director, dated June 30, 2017
11. New Jersey State League of Municipalities: Letter from Michael F. Cerra, Assistant Executive Director, dated June 27, 2017
12. PFM: Letter from Leo Karwejna, Chief Compliance Officer, Cheryl Maddox, General Counsel, and Catherine Humphrey-Bennett, Municipal Advisory Compliance Officer, dated July 3, 2017
13. Piper Jaffray & Co.: Letter from Frank Fairman, Managing Director, Head of Public Finance Services, and Rebecca Lawrence, Managing Director, Associate General Counsel, Public Finance and Fixed Income, dated June 29, 2017
14. Securities Industry and Financial Markets Association: Letter from Leslie M. Norwood, Managing Director and Associate General Counsel, dated June 30, 2017
15. Southern Municipal Advisors, Inc.: Letter from Michael C. Cawley, Senior Consultant, dated June 29, 2017
16. Township of East Brunswick: Email from L. Mason Neely dated June 2, 2017
Bank Dealers, Dealers, Municipal Advisors
1. Acacia Financial Group, Inc.: Letter from Noreen P. White, Co-President, and Kim M. Whelan, Co-President, dated March 31, 2017
2. American Bankers Association: Letter from Cristeena G. Naser, Vice President and Senior Counsel, Center for Securities, Trust and Investment, dated March 24, 2017
3. Bloomberg, L.P.: Letter from Peter Warms, Senior Manager of Fixed Income, Entity, Regulatory Content and Symbology
4. Bond Dealers of America: Letter from Mike Nicholas, Chief Executive Officer, dated March 31, 2017
5. CUSIP Global Services: Letter from Scott J. Preiss, Managing Director, Global Head, dated March 30, 2017
6. Dixworks LLC: E-mail from Dennis Dix, Jr., Principal, dated March 29, 2017
7. First River Advisory LLC: E-mail from Shelley Aronson dated March 22, 2017
8. George K. Baum & Company: Letter from Guy E. Yandel, EVP and Co-Manager Public Finance, Dana L. Bjornson, EVP, CFO and Chief Compliance Officer, and Andrew F. Sears, EVP and General Counsel, dated March 31, 2017
9. Government Finance Officers Association: Letter from Emily Brock, Director, Federal Liaison Center, dated March 31, 2017
10. National Association of Health and Educational Facilities Finance Authorities: Letter from Donna Murr, President, and Martin Walke, Advocacy Committee Chair, dated March 31, 2017
11. National Association of Municipal Advisors: Letter from Susan Gaffney, Executive Director, dated March 31, 2017
12. National Federation of Municipal Analysts; Letter from Julie Egan, Chair, and Lisa Washburn, Industry Practices and Procedures Chair, dated March 31, 2017
13. Opus Bank: E-mail from Dmitry Semenov, Senior Managing Director, Public Finance, dated March 15, 2017
14. PFM: Letter from Cheryl Maddox, General Counsel, and Leo Karwejna, Chief Compliance Officer, dated March 31, 2017
15. Phoenix Advisors, LLC: Letter from David B. Thompson, CEO, dated March 21, 2017
16. Piper Jaffray & Co.: Letter from Frank Fairman, Managing Director, Head of Public Finance Services, and Rebecca Lawrence, Managing Director, Associate General Counsel, Public Finance and Fixed Income, dated March 31, 2017
17. Rudy Salo: E-mail dated March 31, 2017
18. Securities Industry and Financial Markets Association: Letter from Leslie M. Norwood, Managing Director and Associate General Counsel, dated March 31, 2017
19. SMA: E-mail from Michael Cawley dated March 21, 2017
20. State of Florida, Division of Bond Finance: Letter from J. Ben Watkins III, Director, dated April 7, 2017
Bank Dealers, Dealers, Municipal Advisors
1. Arrow Partners: Letter from Steven Rubenstein dated May 16, 2014
2. Association of Registration Management: Letter from Michele Van Tassel, President, dated May 16, 2014
3. Bond Dealers of America: Letter from Michael Nicholas, Chief Executive Officer, dated May 16, 2014
4. Cedar Partners Ltd: Letter from Christy Ping, Director/Chief Compliance Officer, dated May 16, 2014
5. Central States Capital Markets: E-mail from Mark Detter dated April 17, 2014
6. CFA Institute: Letter from Inigo Bengoechea, Director, and Dan Larocco, Manager, dated April 25, 2014
7. Compass Securities Corporation: Letter from John R. Ahern, President
8. Dixworks LLC: E-mail from Dennis Dix, Jr. dated April 11, 2014
9. Fitzgibbon Toigo Associates, LLC: E-mail from Brian X. Fitzgibbon dated May 16, 2014
10. Fortress Group, Inc.: Letter from Bruce A. Williamson, Managing Director and Chief Compliance Officer, dated May 16, 2014
11. Frank Taylor: E-mail dated March 19, 2014
12. George K. Baum & Company: Letter from Guy E. Yandel, EVP Public Finance, Dana L. Bjornson, EVP and Chief Compliance Officer, and Andrew F. Sears, SVP and General Counsel, dated May 16, 2014
13. Government Credit Corporation: E-mail from Joseph Mooney dated March 18, 2014
14. Hamersley Partners, LLC: Letter from Andrew Phillips, Principal and CCO, dated May 16, 2014
15. IMMS LLC: E-mail from John Daly dated May 16, 2014
16. Investment Company Institute: Letter from Tamara K. Salmon, Senior Associate Counsel, dated May 8, 2014
17. Jorge Rosso: E-mail dated April 3, 2014
18. Monahan & Roth, LLC: Letter from Lisa Roth, President, dated May 16, 2014
19. MVision Private Equity Advisers USA LLC: Letter from Victoria Sherliker, General Counsel, dated May 16, 2014
20. National Association of Independent Public Finance Advisors: Letter from Jeanine Rodgers Caruso, President, dated May 16, 2014
21. New Albany Capital Partners, LLC: Letter from Rick Wayman dated May 14, 2014
22. Oyster River Capital LP: Letter from Richard A. Murphy dated May 16, 2014
23. Perkins Fund Marketing LLC: Letter from Gilman C. Perkins, Principal and Managing Member, dated May 16, 2014
24. Raftelis Financial Consultants, Inc.: Letter from Alexis F. Warmath, Vice President, and Christopher P.N. Woodcock, President, Woodcock & Associates, Inc., dated May 16, 2014
25. Securities Industry and Financial Markets Association: Letter from Leslie M. Norwood, Managing Director and Associate General Counsel, dated May 16, 2014
26. Sonja Sullivan: E-mail dated May 16, 2014
27. Stacy Havener: E-mail dated May 16, 2014
28. Stonehaven: Letter from Steven Jafarzadeh, Managing Director and Partner, dated May 16, 2014
29. Tessera Capital Partners: Letter from Donna DiMaria, CEO/CCO, dated May 16, 2014
30. Third Party Marketers Association: Letter from Donna DiMaria, Chairman of the Board of Directors, dated May 16, 2014
31. Tibor Partners Inc.: E-mail from William Johnston dated March 18, 2014
32. Timothy D. Wasson: Letter
33. Yuba Group: Letter from Linda Fan, Managing Partner, dated April 28, 2014
34. Zions First National Bank: Letter from W. David Hemingway, Executive Vice President, dated May 16, 2014
35. Zions First National Bank: Letter from James G. Livingston, Senior Vice President, dated May 16, 2014
Bank Dealers, Dealers, Municipal Advisors
Bank Dealers, Dealers
Bank Dealers, Dealers
Bank Dealers, Dealers
1. Securities Industry and Financial Markets Association: Letter from Leslie M. Norwood, Managing Director and Associate General Counsel, dated May 8, 2012
2. TD Securities (USA) LLC: E-mail from Frank Alessandro dated May 8, 2012
1. Bond Dealers of America: Letter from Michael Nicholas, Chief Executive Officer, dated April 10, 2012
2. Full Life Financial LLC: Letter from Keith Newcomb, Portfolio Manager, dated April 14, 2012
3. Government Finance Officers Association: Letter from Susan Gaffney, Director, Federal Liaison Center, dated April 6, 2012
4. Kious and Co.: E-mail from Michael Kious dated March 13, 2012
5. M. E. Allison & Co., Inc.: Letter from Christopher R. Allison, Chief Financial Officer, dated March 13, 2012
6. McGuirk, Hugh: E-mail dated March 14, 2012
7. National Association of Independent Public Finance Advisors: Letter from Colette J. Irwin-Knott, President, dated April 9, 2012
8. Oppenheimer & Co. Inc.: Letter from Allison F. Fleitas II, Managing Director, Municipal Capital Markets Group
9. UMB Bank, N.A.: E-mail from Kristin Koziol dated March 30, 2012