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Notice 2016-02 - Request for Comment
Publication date: | Comment due:
Information for:

Bank Dealers, Dealers

Rule Number:

Rule G-12

1.  Bond Dealers of America: Letter from Mike Nicholas, Chief Executive Officer, dated March 4, 2016

2.  Breena LLC: E-mail from Geraldine Lettieri dated January 6, 2016

3.  National Securities Clearing Corporation: Letter from Murray C. Pozmanter, Managing Director, dated January 12, 2016

4.  Securities Industry and Financial Markets Association: Letter from Leslie M. Norwood, Managing Director and Associate General Counsel, dated March 6, 2016

Notice 2015-22 - Request for Comment
Publication date: | Comment due:
Information for:

Bank Dealers, Dealers, Municipal Advisors

Rule Number:

Rule G-12, Rule G-15

1.  Bernardi Securities, Inc.: Letter from Eric Bederman, SVP, Chief Operating & Compliance Officer, dated November 17, 2015

2.  Bond Dealers of America: Letter from Michael Nicholas, Chief Executive Officer, dated December 10, 2015

3.  Brandis Tallman LLC: Letter from Richard Brandis

4.  Castle Advisory Company: E-mail from Garth Schulz dated November 10, 2015

5.  Coastal Securities: E-mail from Chris Melton, Executive Vice President, dated December 10, 2015

6.  Financial Services Institute: Letter from David T. Bellaire, Executive Vice President & General Counsel, dated December 10, 2015

7.  Geraldine Lettieri: E-mail dated November 10, 2015

8.  Investment Company Institute: Letter from Martin A. Burns, Chief Industry Operations Officer, dated December 1, 2015

9.  Securities Industry and Financial Markets Association: Letter from Leslie M. Norwood, Managing Director and Associate General Counsel, dated December 10, 2015

 

Notice 2009-20 - Request for Comment
Publication date: | Comment due:
Information for:

Rule Number:

Rule G-11, Rule G-12


Comments on MSRB Notice 2009-20 (May 12, 2009)

  1. First Southwest Company: Letter from Hill A. Feinberg, Chairman, dated June 26, 2009
  2. Securities Industry and Financial Markets Association: Letter from Leslie M. Norwood, Managing Director and Associate General Counsel, dated June 29, 2009
Notice 2008-16 - Request for Comment
Publication date: | Comment due: