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Notice 2018-33 - Informational Notice
Publication date:
Notice 2018-30 - Approval Notice
Publication date:
Notice 2018-26 - Informational Notice
Publication date:
Compliance Resource
Publication date:
Notice 2018-18 - Regulatory Reminder
Publication date:
Information for:

General Public, Investors, Issuers, Municipal Advisors

Compliance Resource
Publication date:
Notice 2018-13 - Informational Notice
Publication date:
Information for:

Bank Dealers, Dealers, Municipal Advisors

Rule Number:

Rule G-3

Notice 2018-11 - Informational Notice
Publication date:
Information for:

Bank Dealers, Dealers, Municipal Advisors

Rule Number:

Rule G-3

Notice 2017-21 - Informational Notice
Publication date:
Compliance Resource
Publication date:
Compliance Resource
Publication date:
Information for:

Municipal Advisors

Rule Number:

Rule G-3

Notice 2017-10 - Approval Notice
Publication date:
Notice 2017-09 - Informational Notice
Publication date:
Notice 2017-08 - Informational Notice
Publication date:
Notice 2016-24 - Request for Comment
Publication date: | Comment due:
Information for:

Bank Dealers, Municipal Advisors

Rule Number:

Rule G-3

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

Notice 2016-16 - Informational Notice
Publication date:
Information for:

Municipal Advisors

Rule Number:

Rule G-3

Notice 2015-17 - Informational Notice
Publication date:
Notice 2015-15 - Informational Notice
Publication date: