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Notice 2022-12 - Informational Notice
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Compliance Resource
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Notice 2022-02 - Informational Notice
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Notice 2021-16 - Informational Notice
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Notice 2021-14 - Informational Notice
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Information for:

Bank Dealers, Dealers

Rule Number:

Rule G-27

Notice 2021-12 - Request for Comment
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Information for:

Bank Dealers, Dealers, Municipal Advisors

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

Notice 2020-18 - Informational Notice
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Information for:

Bank Dealers, Dealers, Municipal Advisors

Notice 2020-09 - Informational Notice
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Notice 2020-07 - Informational Notice
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Notice 2019-14 - Informational Notice
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Notice 2019-11 - Informational Notice
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Compliance Resource
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Notice 2018-17 - Regulatory Reminder
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Compliance Resource
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Notice 2014-13 - Informational Notice
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Notice 2013-22 - Request for Comment
Publication date: | Comment due:
Information for:

Bank Dealers, Dealers


1.  Bartholomew, Patricia E., 2014 Chair, Securities Industry Council on Continuing Education, and Bartol, William E., 2013 Chair, Securities Industry Council on Continuing Education: Letter dated January 13, 2014

2.  Bond Dealers of America: Letter from Michael Nicholas, Chief Executive Officer, dated January 13, 2014

3.  Diamant Investment Corporation: E-mail from Herbert Diamant dated December 13, 2013

4.  Financial Services Institute: Letter from David T. Bellaire, Executive Vice President and General Counsel, dated January 13, 2014

5.  Investment Company Institute: Letter from Tamara K. Salmon, Senior Associate Counsel, dated January 13, 2014

6.  MetLife Securities, Inc.: Letter from Jennifer Lewis, Corporate Counsel, dated January 13, 2014

7.  National Society of Compliance Professionals: Letter from Judy Werner, Executive Director, dated January 14, 2014

8.  Romano Wealth Management: E-mail from Joe Romano dated January 13, 2014

9.  RW Smith & Associates, Inc.: E-mail from Paige Pierce dated January 13, 2014

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

11.  Wulff, Hansen & Co.: Letter from Chris Charles, President, dated January 9, 2014

Notice 2011-62 - Informational Notice
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