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Notice 2016-07 - Request for Comment
Publication date: | Comment due:
Information for:

Bank Dealers, Dealers

Rule Number:

Rule G-30

1.  Bond Dealers of America: Letter from Michael Nicholas, Chief Executive Officer, dated March 31, 2016

2.  Breena LLC: E-mail from G. Lettieri dated February 23, 2016; and e-mail from G. Lettieri dated March 10, 2016

3.  Brian Shaw: Letter dated March 28, 2016

4.  Herbert Murez: E-mail dated March 28, 2016

5.  Markit: Letter from Marcus Schuler, Head of Regulatory Affairs, dated March 31, 2016

6.  Office of the Investor Advocate, U.S. Securities and Exchange Commission: Letter from Rick A. Fleming, Investor Advocate, dated March 31, 2016

7.  Securities Industry and Financial Markets Association: Letter from Leslie M. Norwood, Managing Director and Associate General Counsel, Municipal Securities Division, and Sean Davy, Managing Director, Capital Markets Division, dated March 31, 2016

8.  State of Florida, Division of Bond Finance: Letter from J. Ben Watkins III, Director, dated March 31, 2016

9.  Thomson Reuters: Letter from Manisha Kimmel, Chief Regulatory Officer, Wealth Management, dated March 31, 2016

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 2012-50 - Request for Comment
Publication date: | Comment due:
Information for:

Bank Dealers, Dealers, Municipal Advisors


1.  Bond Dealers of America: Letter from Michael Nicholas, Chief Executive Officer, dated November 2, 2012

2.  Dorsey & Company, Inc.: Letter from Steven Rueb, Vice President, dated November 14, 2012

3.  Edward D. Jones & Co., L.P.: Letter from David Fischer-Lodike, Capital Markets & Operations Compliance, dated November 2, 2012

4.  Financial Planning Association: Letter from David A. Cohen, Assistant Director - Government Relations, dated November 2, 2012

5.  Government Finance Officers Association: Letter from Susan Gaffney, Director, Federal Liaison Center, dated November 5, 2012

6.  Investment Company Institute: Letter from Dorothy Donohue, Deputy General Counsel - Securities Regulation, dated November 2, 2012

7.  National Association of Independent Public Finance Advisors: Letter from Jeanine Rodgers Caruso, President, dated November 2, 2012

8.  Rhode Island Health and Educational Building Corporation: Letter from Robert E. Donovan, Executive Director, dated October 15, 2012

9.  Securities Industry and Financial Markets Association: Letter from David L. Cohen, Managing Director, Associate General Counsel, dated November 2, 2012

10.  Vanguard: Letter from Christopher Alwine, Head of Municipal Bond Group, dated November 2, 2012

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 2012-13 - Request for Comment
Publication date: | Comment due:
Information for:

1.  Alamo Capital: E-mail from Bill Mullally dated March 9, 2012

2.  Bond Dealers of America: Letter from Michael Nicholas, Chief Executive Officer, dated April 13, 2012

3.  CFA Institute: Letter from Kurt N. Schacht, Managing Director, Standards and Financial Market Integrity, and James C. Allen, Head, Capital Markets Policy, dated April 13, 2012

4.  Edward D. Jones & Co., L.P.: Letter from David E. Fischer-Lodike, Capital Markets and Operations Compliance, dated April 13, 2012

5.  Full Life Financial LLC: Letter from Keith Newcomb, Portfolio Manager, dated April 13, 2012

6.  Government Finance Officers Association: Letter from Susan Gaffney, Director, Federal Liaison Center, dated April 13, 2012

7.  Investment Company Institute: Letter from Dorothy Donohue, Deputy General Counsel-Securities Regulation, dated April 13, 2012

8.  Li, Richard: Letter dated March 7, 2012

9.  Melton, Chris: E-mail dated April 13, 2012

10.  National Association of Independent Public Finance Advisors: Letter from Colette J. Irwin-Knott, President, dated April 13, 2012

11.  Securities Industry and Financial Markets Association: Letter from David L. Cohen, Managing Director, Associate General Counsel, dated April 13, 2012

12.  Thornburg Investment Management: Letter from Josh Gonze, Chris Ryon, and Chris Ihlefeld, Co-Portfolio Managers, dated March 12, 2012

13.  Vanguard: Letter from Christopher Alwine, Head of Municipal Bond Group, dated April 13, 2012

14.  Wells Fargo Advisors: Letter from Ronald C. Long, Director of Regulatory Affairs, dated April 13, 2012

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

Notice 2010-10 - Request for Comment
Publication date: | Comment due:
Information for:

Rule Number:

Rule G-30


Comments on MSRB Notice 2010-10 (April 21, 2010)

1.  BMO Capital Markets: Letter from Robert J. Stracks, Counsel, dated June 7, 2010
2.  Citigroup Global Markets: Letter from Howard Marsh, Managing Director, Municipal Securities Division, dated June 14, 2010
3.  Coastal Securities, Inc.: Letter from Chris Melton, Executive Vice President, dated August 3, 2010
4.  J.J.B. Hilliard, W.L. Lyons, LLC: Letter from Ronald J. Dieckman, Director, Municipal Bonds, dated June 4, 2010
5.  Regional Bond Dealers Association: Letter from Mike Nicholas, Chief Executive Officer, dated June 4, 2010
6.  Riedl First Securities: Letter from Gerald D. Riedl, President/CEO, dated June 1, 2010
7.  Roberts & Ryan Investments Inc.: E-mail from Daniel W. Roberts, President/CEO, dated April 21, 2010
8.  RW Smith and Associates, Inc.: Letter from Paige W. Pierce, President and CEO, dated June 4, 2010
9.  Securities Industry and Financial Markets Association: Letter from Leslie M. Norwood, Managing Director and Associate General Counsel, dated June 7, 2010