Select regulatory documents by category:
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 Advisors
All Comments to Notice 2021-12
1. Bond Dealers of America: Letter from Michael Decker, Senior Vice President, dated January 19, 2022
2. First River Advisory L.L.C.: Letter from Shelley J. Aronson dated January 18, 2022
3. National Association of Municipal Advisors: Letter from Susan Gaffney, Executive Director, dated January 19, 2022
4. Securities Industry and Financial Markets Association: Letter from Leslie M. Norwood, Managing Director and Associate General Counsel, and Matthew Roberts, Assistant Vice President, dated January 19, 2022
All Comments to Notice 2021-07
1. National Association of Municipal Advisors: Letter from Susan Gaffney, Executive Director, dated June 17, 2021
2. Securities Industry and Financial Markets Association: Letter from Leslie M. Norwood, Managing Director and Associate General Counsel, dated June 17, 2021
3. Third-Party Marketers Association: Letter from Donna DiMaria, Chairman of the Board of Directors and Chair of the 3PM Regulatory Committee, dated June 16, 2021
