Select regulatory documents by category:
General Public, Issuers, Municipal Advisors
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
All Comments to Notice 2021-18
1. National Association of Municipal Advisors: Letter from Susan Gaffney, Executive Director, dated March 15, 2022
2. Securities Industry and Financial Markets Association: Letter from Leslie M. Norwood, Managing Director and Associate General Counsel, dated March 15, 2022
3. Third-Party Marketers Association: Letter from Donna DiMaria, Chairman of the Board of Directors and Chair of the 3PM Regulatory Committee, dated March 15, 2022
Bank Dealers, Dealers, Municipal Fund Securities
Bank Dealers, Dealers, Municipal Fund Securities
Bank Dealers, Dealers
1. American Funds Distributors, Inc.: Letter from Maria Manotok, Senior Counsel, dated September 21, 2017
2. Ascensus College Savings: Letter from Sandra Madden, General Counsel, dated September 21, 2017
3. College Savings Plans Network and College Savings Foundation: Letter from Richard J. Polimeni, Chairman, College Savings Foundation, and Young Boozer, Chairman, College Savings Plans Network, dated September 21, 2017
4. Investment Company Institute: Letter from Tamara K. Salmon, Senior Associate Counsel, dated September 21, 2017
5. Securities Industry and Financial Markets Association: Letter from Leslie M. Norwood, Managing Director and Associate General Counsel, and Bernard Canepa, Vice President and Assistant General Counsel, dated September 21, 2017
6. State of West Virginia: Letter from John D. Perdue, State Treasurer, dated September 18, 2017
Bank Dealers, Dealers, Municipal Fund Securities
Bank Dealers, Dealers, Municipal Fund Securities
Bank Dealers, Dealers, Municipal Fund Securities