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Notice 2018-22 - Request for Comment
Publication date: | Comment due:
Information for:

Bank Dealers, Dealers

Rule Number:

Rule G-17, Rule G-18

1. Amuni Financial, Inc.: Letter from Mike Petagna, President, dated October 31, 2018

2. Bond Dealers of America: Letter from Michael Nicholas, Chief Executive Officer, dated November 13, 2018

3. Emmet & Co.: Email from Robert Ventrice dated September 14, 2018

4. Hartfield, Titus & Donnelly, LLC: Letter from Edward J. Smith, Chief Compliance Officer, and Christopher C. Ferreri, Chief Operating Officer, dated November 13, 2018

5. Headlands Tech Global Markets, LLC: Letter from Matthew F. Andresen, Chief Executive Officer, dated October 26, 2018

6. Regional Brokers, Inc.: Letter from Joseph A. Hemphill, III, Chief Executive Officer, and H. Deane Armstrong, Chief Compliance Officer, dated November 6, 2018

7. RW Smith & Associates, LLC: Letter from Denien Rasmussen, Co-Chief Compliance Officer, Chief Operating Officer, dated November 13, 2018

8. Securities Industry and Financial Markets Association: Letter from Leslie M. Norwood, Managing Director and Associate General Counsel, dated November 13, 2018

9. TMC Bonds: Letter from Thomas S. Vales, Chief Executive Officer, dated November 14, 2018

 

Notice 2014-02 - Request for Comment
Publication date: | Comment due:
Information for:

Bank Dealers, Dealers

Rule Number:

Rule G-18


1.  Bond Dealers of America: Letter from Michael Nicholas, Chief Executive Officer, dated March 21, 2014

2.  City of New York, Office of the Comptroller: Letter from Scott M. Stringer, New York City Comptroller, dated March 21, 2014

3.  Coastal Securities: Letter from Chris Melton, Executive Vice President, dated March 21, 2014

4.  Interactive Data: Letter from Andrew Hausman, President, dated March 21, 2014

5.  National Association of Independent Public Finance Advisors: Letter from Jeanine Rodgers Caruso, President, dated March 21, 2014

6.  NYSE Euronext: Letter from Martha Redding, Chief Counsel, dated March 31, 2014

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

8.  Securities Industry and Financial Markets Association: Letter from David L. Cohen, Managing Director, Associate General Counsel, dated March 13, 2014

9.  Wells Fargo Advisors, LLC: Letter from Robert J. McCarthy, Director of Regulatory Policy, dated April 2, 2014

10.  Wulff, Hansen & Co.: Letter from Chris Charles, President, dated March 21, 2014

Notice 2013-15 - Request for Comment
Publication date: | Comment due:
Information for:

Bank Dealers, Dealers

Rule Number:

Rule G-18, Rule G-30

1. Financial Services Institute: Letter from David T. Bellaire, Executive Vice President and General Counsel, dated September 20, 2013

2. Investment Company Institute: Letter from Tamara K. Salmon, Senior Associate Counsel, dated September 20, 2013

3. Securities Industry and Financial Markets Association: Letter from David L. Cohen, Managing Director, Associate General Counsel, dated September 20, 2013

4. Wells Fargo Advisors, LLC: Letter from Robert J. McCarthy, Director of Regulatory Policy, dated September 20, 2013

5. Wells Fargo Securities: Letter from Gerald K. Mayfield, Senior Counsel, dated September 20, 2013

Notice 2012-41 - Request for Comment
Publication date: | Comment due:
Information for:

Bank Dealers, Dealers


1.  Bond Dealers of America: Letter from Michael Nicholas, Chief Executive Officer, dated September 21, 2012

2.  Charles Schwab & Co. Inc.: Letter from Bari Havlik, Senior Vice President and Chief Compliance Officer, dated September 21, 2012

3.  Cooley, Bruce: Letter

4.  Fidelity Investments: Letter from David A. Forman, Vice President and General Counsel, dated September 21, 2012

5.  Investment Company Institute: Letter from Tamara K. Salmon, Senior Associate Counsel, dated September 21, 2012

6.  Securities Industry and Financial Markets Association: Letter from David L. Cohen, Managing Director and Associate General Counsel, dated September 21, 2012

7.  TD Ameritrade, Inc.: Letter from John S. Markle, Deputy General Counsel, dated September 26, 2012

8.  Wells Fargo Advisors: Letter from Ronald C. Long, Director of Regulatory Affairs, dated September 21, 2012

Notice 2011-63 - Request for Comment
Publication date: | Comment due:
Information for:

1.  Alternative Regulatory Solutions, L.L.C.: Letter from Kimberly McManus, President, dated December 13, 2011

2.  Bond Dealers of America: Letter from Michael Nicholas, CEO, dated December 13, 2011

3.  Securities Industry and Financial Markets Association: Letter from David L. Cohen, Managing Director, Associate General Counsel, dated December 13, 2011

4.  TMC Bonds L.L.C.: Letter from John S. Craft, Director of Sales and Marketing, dated December 13, 2011

Notice 2011-18 - Request for Comment
Publication date: | Comment due:
Information for:


1.  American Municipal Securities, Inc.: Letter from John C. Petagna, Jr., President, dated April 26, 2011

2.  Barker, Bill: E-mail dated April 18, 2011

3.  Bond Dealers of America: Letter from Mike Nicholas, Chief Executive Officer, dated April 21, 2011

4.  Chapdelaine & Co.: Letter from August J. Hoerrner, President, dated May 5, 2011

5.  Conners & Company, Inc.: E-mail from Jay White dated April 13, 2011

6.  Foard, Dale: E-mail dated April 21, 2011

7.  Hartfield, Titus & Donnelly, LLC: Letter from Mark J. Epstein, President and Chief Executive Officer, dated April 21, 2011

8.  KeyBanc Capital Markets Inc.: E-mail from Michael A. Burrello, Managing Director, Municipal Trading and Underwriting, dated April 21, 2011

9.  Kiley Partners, Inc.: E-mail from Michael Kiley dated April 12, 2011

10.  Knight BondPoint: Letter from Marshall Nicholson, Managing Director, dated April 21, 2011

11.  M.E. Allison & Co., Inc.: E-mail from Christopher R. Allison, Chief Financial Officer, dated April 20, 2011

12.  National Alliance Securities: E-mail from Bob Barnette, Municipal Trader, dated April 21, 2011

13.  Oppenheimer & Co., Inc.: Letter from Marty Campbell, Senior Director, Municipal Underwriting & Trading

14.  Potratz, Jay: E-mail dated April 21, 2011

15.  R. Seelaus & Co., Inc.: E-mail from Richard Seelaus dated April 13, 2011

16.  Regional Brokers, Inc.: Letter from Joseph A. Hemphill, III, CEO, and H. Deane Armstrong, CCO, dated April 21, 2011

17.  Regional Brokers, Inc.: Letter from Joseph A. Hemphill, III, President and CEO, and H. Deane Armstrong, CCO, dated May 12, 2011

18.  RH Investment Corporation: Letter from Andrew L. "Bud" Byrnes, III, Chief Executive Officer, dated April 21, 2011

19.  Robbins, Leonard Jack: Letter dated May 1, 2011

20.  RW Smith & Associates, Inc.: Letter from Paige W. Pierce, President and CEO, dated April 27, 2011

21.  Securities Industry and Financial Markets Association: Letter from Leslie M. Norwood, Managing Director and Associate General Counsel, dated April 29, 2011

22.  Securities Industry and Financial Markets Association: Letter from Leslie M. Norwood, Managing Director and Associate General Counsel, dated April 29, 2011

23.  Seidel & Shaw, LLC: Letter from Thomas W. Shaw, President

24.  Sentinel Brokers Company, Inc.: E-mail from Joseph M. Lawless, President, dated April 12, 2011

25.  Sentinel Brokers Company, Inc.: E-mail from Joseph M. Lawless, President, dated April 13, 2011

26.  Seven Points Capital: E-mail from Jerry Racasi dated April 13, 2011

27.  Stifel, Nicolaus & Company, Incorporated: E-mail from Andy Jackson dated April 20, 2011

28.  Stoever Glass & Co.: Letter from Frederick J. Stoever, President, dated April 15, 2011

29.  TheMuniCenter, LLC: Letter from Thomas S. Vales, Chief Executive Officer, dated April 21, 2011

30.  Tradeweb Markets LLC: Letter from John Cahalane, Managing Director, Head of Tradeweb Retail, dated May 3, 2011

31.  Walsh, John: E-mail dated April 21, 2011

32.  Wiley Bros.-Aintree Capital, LLC: E-mail from Keener Billups, Managing Director, dated April 26, 2011, corrects Wiley Bros.-Aintree Capital, LLC: E-mail from Keener Billups, Managing Director, dated April 13, 2011

33.  William Blair: E-mail from Tom Greene dated April 21, 2011

34.  Welbourn, Steve: E-mail dated April 21, 2011

35.  Wolfe & Hurst Bond Brokers, Inc.: Letter from O. Gene Hurst, President, dated April 25, 2011, corrects Wolfe & Hurst Bond Brokers, Inc.: Letter from O. Gene Hurst, President, dated April 21, 2011

36.  Ziegler Capital Markets: E-mail from Kathleen R. Murphy dated April 13, 2011

Notice 2010-35 - Request for Comment
Publication date: | Comment due:
Information for:


Comments on MSRB Notice 2010-35 (September 9, 2010)

1.  Associated Bond Brokers, Inc.: Letter from Pamela M. Miller, President, dated November 10, 2010
2.  Hartfield, Titus & Donnelly, LLC: Letter from Mark J. Epstein, President, dated November 22, 2010
3.  Regional Brokers, Inc.: Letter from Joseph A. Hemphill, III, CEO, and H. Deane Armstrong, CCO, dated November 15, 2010
4.  RW Smith & Associates: E-mail from S. Lauren Heyne, Chief Compliance Officer, dated November 19, 2010
5.  Securities Industry and Financial Markets Association: Letter from Leslie M. Norwood, Managing Director and Associate General Counsel, dated November 15, 2010
6.  TheMuniCenter, L.L.C.: Letter from Thomas S. Vales, Chief Executive Officer, dated November 10, 2010
7.  Wolfe & Hurst Bond Brokers, Inc.: Letter from O. Gene Hurst, dated November 5, 2010
8.  Wolfe & Hurst Bond Brokers, Inc.: Letter from O. Gene Hurst, dated November 29, 2010