Select regulatory documents by category:
Bank Dealers, Dealers
Bank Dealers, Dealers, General Public, Investors, Issuers, Municipal Advisors
MSRB Files Content Outline for the Municipal Advisor Principal Qualification Examination (Series 54)
Municipal Advisors
Municipal Advisors
Municipal Advisors
Dealers
Bank Dealers, Dealers, Municipal Advisors
Bank Dealers, Dealers, Municipal Advisors
Bank Dealers, Dealers
Municipal Advisors
Municipal Advisors
Municipal Advisors
Municipal Advisors
Bank Dealers, Municipal Advisors
1. Breena LLC: E-mail from G. Letti dated September 30, 2016
2. Castle Advisory Company LLC: E-mail from Garth Schulz dated September 30, 2016
3. Columbia Capital Management, LLC: Letter from Jeff White, Principal, dated November 11, 2016
4. Financial Services Institute: Letter from David T. Bellaire, Executive Vice President and General Counsel, dated November 14, 2016
5. Lamont Financial Services Corporation: Letter from Robert A. Lamb, President, dated October 21, 2016
6. Lawrence Goldberg: E-mail dated September 30, 2016
7. National Association of Municipal Advisors: Letter from Susan Gaffney, Executive Director, dated November 14, 2016
8. PFM Group: Letter from Leo Karwejna, Managing Director and Chief Compliance Officer, dated November 14, 2016
9. Public Resources Advisory Group: Letter from Marianne F. Edmonds, Senior Managing Director, dated November 14, 2016
10. Roberts Consulting, LLC: E-mail from Jonathan Roberts dated October 14, 2016
11. Third Party Marketers Association: Letter from Donna DiMaria, Chairman of the Board of Directors, dated November 17, 2016
Municipal Advisors
Bank Dealers, Dealers