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Notice 2016-23 - Request for Comment
Publication date: | Comment due:
Information for:

Bank Dealers, Dealers

Rule Number:

Rule G-15

1.  Bond Dealers of America: Letter from Mike Nicholas, Chief Executive Officer, dated October 18, 2016

2.  Darcy Versions I and II: E-mail from G. Letti dated September 27, 2016

3.  Financial Services Institute: Letter from David T. Bellaire, Executive Vice President & General Counsel, dated October 11, 2016

4.  James J. Angel: Letter dated October 22, 2016

5.  National Association of Bond Lawyers: Letter from Clifford M. Gerber, President, dated December 23, 2016

6.  Romano Brothers & Co.: Letter from Eric Bederman, Chief Operating and Compliance Officer, dated October 18, 2016

7.  Securities Industry and Financial Markets Association: Letter from Leslie M. Norwood, Managing Director and Associate General Counsel, dated October 18, 2016

Notice 2016-13 - Request for Comment
Publication date: | Comment due:
Information for:

Bank Dealers, Dealers

Rule Number:

Rule G-15

1.  American Municipal Securities, Inc.: Letter from Michael Petagna, President, dated May 25, 2016

2.  Bond Dealers of America: Letter from Mike Nicholas, Chief Executive Officer, dated May 25, 2016

3.  Breena LLC: E-mail from G. Letti dated April 19, 2016

4.  Center for Municipal Finance: Letter from Marc D. Joffe, President, dated April 7, 2016

5.  Neighborly.com: E-mail from Jase Wilson dated May 25, 2016

6.  Regional Brokers, Inc.: Letter from H. Deane Armstrong, CCO

7.  Securities Industry and Financial Markets Association: Letter from Leslie M. Norwood, Managing Director and Associate General Counsel, dated May 25, 2016

8.  Thomas Kiernan: E-mail dated April 7, 2016

9.  Vista Securities: E-mail from Rick DeLong dated May 9, 2016

10.  Wells Fargo Advisors, LLC: Letter from Robert J. McCarthy, Director of Regulatory Policy, dated May 25, 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 2015-16 - Request for Comment
Publication date: | Comment due:
Information for:

Bank Dealers, Dealers

Rule Number:

Rule G-15

1.  Aaron Botbyl: E-mail dated October 9, 2015

2.  Bernardi Securities, Inc.: Letter from Eric Bederman, SVP, Chief Operating & Compliance Officer, dated December 4, 2015

3.  Bond Dealers of America: Letter from Michael Nicholas, Chief Executive Officer, dated December 11, 2015

4.  CFA Institute: Letter from Kurt N. Schacht, Managing Director, Standards and Financial Market Integrity, and Linda L. Rittenhouse, Director, Capital Markets Policy, dated December 11, 2015

5.  Charles Schwab & Co. Inc.: Letter from Jason Clague, Senior Vice President, Trading & Middle Office Services, dated December 11, 2015

6.  Chris Melton: E-mail dated October 30, 2015

7.  Christopher [last name withheld]: E-mail dated September 25, 2015

8.  Consumer Federation of America: Letter from Micah Hauptman, Financial Services Counsel, dated December 11, 2015

9.  Diamant Investment Corporation: Letter from Herbert Diamant, President, dated November 30, 2015

10.  Fidelity Investments: Letter from Norman L. Ashkenas, Chief Compliance Officer, Fidelity Brokerage Services, LLC, and Richard J. O'Brien, Chief Compliance Officer, National Financial Services, LLC, dated December 11, 2015

11.  Financial Information Forum: Letter from Darren Wasney, Program Manager, dated December 11, 2015

12.  Financial Services Institute: Letter from David T. Bellaire, Executive Vice President & General Counsel, dated December 11, 2015

13.  Gerald Heilpern: Letter 

14.  Jonathan Bricker: E-mail dated October 20, 2015

15.  LPL Financial LLC: Letter from David P. Bergers, General Counsel, dated December 10, 2015

16.  Morgan Stanley Smith Barney LLC: Letter from Elizabeth Dennis, Managing Director, dated December 11, 2015

17.  Office of the Investor Advocate, U.S. Securities and Exchange Commission: Letter from Rick A. Fleming, Investor Advocate, dated December 11, 2015

18.  Patrick Luby: Letter dated December 11, 2015

19.  Public Investors Arbitration Bar Association: Letter from Hugh D. Berkson, President, dated December 8, 2015

20.  RBC Capital Markets, LLC: Letter from David L. Cohen, Senior Counsel and Director, dated December 15, 2015

21.  RW Smith & Associates, LLC: Letter from Paige W. Pierce, President & CEO, dated December 11, 2015

22.  Securities Industry and Financial Markets Association: Letter from Sean Davy, Managing Director, Capital Markets Division, and Leslie M. Norwood, Managing Director & Associate General Counsel, Municipal Securities Division, dated December 11, 2015

23.  Thomson Reuters: Letter from Manisha Kimmel, Chief Regulatory Officer, Wealth Management, dated December 11, 2015

24.  TMC Bonds, LLC: Letter from Thomas S. Vales, Chief Executive Officer, dated December 11, 2015

25.  Wells Fargo Advisors, LLC: Letter from Robert J. McCarthy, Director of Regulatory Policy, dated December 11, 2015

Notice 2014-20 - Request for Comment
Publication date: | Comment due:
Information for:

Bank Dealers, Dealers, Municipal Advisors

Rule Number:

Rule G-15

 

1.  Bernardi Securities: Letter from Eric Bederman, Chief Operating and Compliance Officer, dated December 26, 2014

2.  Bond Dealers of America: Letter from Michael Nicholas, Chief Executive Officer, dated January 20, 2015

3.  Coastal Securities: Letter from Chris Melton, Executive Vice President, dated January 16, 2015

4.  Consumer Federation of America: Letter from Micah Hauptman, Financial Services Counsel, dated January 20, 2015

5.  DelphX LLC: Letter from Larry E. Fondren, President and CEO, dated January 7, 2015

6.  Diamant Investment Corporation: Letter from Herbert Diamant, President, dated January 9, 2015

7.  Fidelity Investments: Letter from Norman L. Ashkenas, Chief Compliance Officer, Fidelity Brokerage Services, LLC, and Richard J. O'Brien, Chief Compliance Officer, National Financial Services, LLC, dated January 20, 2015

8.  Financial Information Forum: Letter from Darren Wasney, Program Manager, dated January 20, 2015

9.  Financial Services Institute: Letter from David T. Bellaire, Executive Vice President and General Counsel, dated January 20, 2015

10.  Financial Services Roundtable: Letter from Rich Foster, Vice President and Senior Counsel for Regulatory and Legal Affairs, dated January 20, 2015

11.  Gerald Heilpern: E-mail dated December 9, 2014

12.  Gerald Heilpern: E-mail dated December 18, 2014

13.  Gerald Heilpern: E-mail dated January 8, 2015

14.  Hilliard Lyons: Letter from Alexander I. Rorke, Senior Managing Director, Municipal Securities Group, dated January 20, 2015

15.  Hutchinson Shockey Erley & Co.: Letter from Thomas E. Dannenberg, President and CEO, dated January 20, 2015

16.  Interactive Data: Letter from Andrew Hausman, President, Pricing and Reference Data, dated January 20, 2015

17.  John Smith: E-mail dated December 10, 2014

18.  Jorge Rosso: E-mail dated November 24, 2014

19.  Karin Tex: Letter dated January 12, 2015

20.  McLiney And Company: Email from George J. McLiney, Jr. dated December 22, 2014

21.  Morgan Stanley Smith Barney LLC: Letter from Vincent Lumia, Managing Director, dated January 20, 2015

22.  Nathan Hale Capital, LLC: Letter from Peter G. Brandel, Senior Vice President, Municipal Bond Trading, and Kenneth T. Kerr, Senior Vice President, Municipal Bond Trading, dated January 20, 2015

23.  Office of the Investor Advocate, U.S. Securities and Exchange Commission: Letter from Rick A. Fleming, Investor Advocate, dated January 20, 2015

24.  Private Citizen: E-mail dated November 23, 2014

25.  R. Seelaus & Co., Inc.: Letter from Richard Seelaus dated January 8, 2015

26.  RW Smith & Associates, LLC: E-mail from Paige Pierce dated January 21, 2015

27.  Securities Industry and Financial Markets Association: Letter from Sean Davy, Managing Director, Capital Markets Division, and David L. Cohen, Managing Director and Associate General Counsel, Municipal Securities Division, dated January 20, 2015

28.  Standard & Poor's Securities Evaluations, Inc.: Letter from Gregory Carlin, Vice President, dated January 20, 2015

29.  Thomson Reuters: Letter from Kyle C. Wootten, Deputy Director - Compliance and Regulatory, dated January 16, 2015

30.  Wells Fargo Advisors, LLC: Letter from Robert J. McCarthy, Director of Regulatory Policy, dated January 20, 2015

Notice 2001-13 - Request for Comment
Publication date: | Comment due:
Information for:

Rule Number:

Rule G-15

No comments available.

Notice 2001-08 - Request for Comment
Publication date: | Comment due:
Information for:

Rule Number:

Rule G-15

No comments available.