Select regulatory documents by category:
Back to top
Notice 2022-11 - Request for Comment
Publication date: | Comment due:
Notice 2018-15 - Request for Comment
Publication date: | Comment due:
Information for:

Bank Dealers, Dealers, Municipal Advisors

Rule Number:

Rule G-11, Rule G-32

1. Acacia Financial Group, Inc.: Letter from Noreen P. White, Co-President, and Kim M. Whelan, Co-President, dated September 17, 2018

2. Bond Dealers of America: Letter from Mike Nicholas, Chief Executive Officer, dated September 17, 2018

3. C F I: Email from Stephen Holstein dated July 25, 2018

4. Ehlers Associates, Inc.: Letter from Steve Apfelbacher dated September 17, 2018

5. Government Finance Officers Association: Letter from Emily S. Brock, Director, Federal Liaison Center, dated September 19, 2018 

6. National Association of Municipal Advisors: Letter from Susan Gaffney, Executive Director, dated September 18, 2018

7. National Federation of Municipal Analysts: Letter from Julie Egan, NFMA Industry Practices and Procedures Chair, and Lisa Washburn, NFMA Industry Practices and Procedures Co-Chair, dated September 17, 2018

8. Office of the Investor Advocate, U.S. Securities and Exchange Commission: Letter from Rick A. Fleming, Investor Advocate, dated September 17, 2018

9. Public Resources Advisory Group: Letter from Marianne F. Edmonds dated September 18, 2018

10. Securities Industry and Financial Markets Association: Letter from Leslie M. Norwood, Managing Director and Associate General Counsel, dated September 17, 2018

Notice 2017-19 - Request for Comment
Publication date: | Comment due:
Information for:

Bank Dealers, Dealers, Municipal Advisors

Rule Number:

Rule G-11, Rule G-32

1. Bond Dealers of America: Letter from Mike Nicholas, Chief Executive Officer, dated November 16, 2017

2. City of San Diego: Letter

3. Global Legal Entity Identifier Foundation: Email from Stephan Wolf dated November 6, 2017

4. Government Finance Officers Association: Letter from Emily Brock, Director, Federal Liaison Center, dated November 27, 2017

5. Michael Paganini: Email dated September 15, 2017

6. National Association of Bond Lawyers: Letter from Alexandra M. MacLennan, President, dated November 17, 2017

7. National Association of Municipal Advisors: Letter from Susan Gaffney, Executive Director, dated November 13, 2017

8. National Federation of Municipal Analysts: Letter from Julie Egan, Chair, and Lisa Washburn, Industry Practices and Procedures Chair, dated November 9, 2017

9. Robert W. Doty: Letter dated November 2, 2017

10. Securities Industry and Financial Markets Association: Letter from Leslie M. Norwood, Managing Director and Associate General Counsel, dated November 15, 2017

11. TMC Bonds: Letter from John S. Craft, Managing Director, dated November 13, 2017

12. Wells Capital Management Incorporated: Letter from Gilbert L. Southwell III, Vice President, dated November 1, 2017

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 2012-19 - Request for Comment
Publication date: | Comment due:
Information for:

Rule Number:

Rule G-32, Rule G-34


1.  Securities Industry and Financial Markets Association: Letter from Leslie M. Norwood, Managing Director and Associate General Counsel, dated May 8, 2012

2.  TD Securities (USA) LLC: E-mail from Frank Alessandro dated May 8, 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 2006-19 - Request for Comment
Publication date: | Comment due:
Information for:

Rule Number:

Rule G-32


Comments on MSRB Notice 2006-19 (July 27, 2006) 

  1. American Bar Association, Section of State and Local Government Law: Letter from Edward J. Sullivan, Chair, dated October 9, 2006
  2. American Governmental Financial Services Company: Letter from Robert W. Doty, President, dated September 15, 2006
  3. Automatic Data Processing, Inc.: Letter from Gerard F. Scavelli, Senior Vice President & General Manager, dated September 15, 2006
  4. Bernardi Securities, Inc.: Letter from Eric Bederman, Chief Compliance Officer, dated August 7, 2006
  5. Bond Market Association: Letter from Leslie M. Norwood, Vice President and Assistant General Counsel, dated September 15, 2006
  6. brokersXpress, LLC: Letter from Blaine Schwartz, President & CCO, dated September 15, 2006
  7. College Savings Plans Network: Letter from Jackie T. Williams, Chair, dated September 22, 2006
  8. Commerce Bancshares, Inc.: Letter from Michael A. Dardis, Manager of Trust and Investment Products Compliance, dated September 13, 2006
  9. Digital Assurance Certification LLC: Letter from Paula Stuart, Chief Executive Officer, dated September 29, 2006
  10. DPC DATA Inc.: Letter from Peter J. Schmitt, Chief Executive Officer, dated September 13, 2006
  11. Edward D. Jones & Co., LP: Letter from Robert Beck, Principal, Municipal Bonds, dated September 13, 2006
  12. First Southwest Company: Letter from Richard A. DeLong, Senior Vice President, Municipal Trading and Underwriting, dated September 15, 2006
  13. Griffin, Kubik, Stephens & Thompson, Inc.: Letter from Robert J. Stracks, Counsel, dated September 14, 2006
  14. Investment Company Institute: Letter from Elizabeth R. Krentzman, General Counsel, dated September 14, 2006
  15. J.J.B. Hilliard, W.L. Lyons, Inc.: Letter from Ronald J. Dieckman, Senior Vice President, Director of Public Finance/Municipals, dated August 4, 2006
  16. Morgan Keegan & Company, Inc.: Letter from Jerry L. Chapman, Managing Director, Municipal Product Manager, dated August 31, 2006
  17. Municipal Advisory Council of Texas: Letter from Gary P. Machak, Chairman, dated September 14, 2006
  18. National Association of Bond Lawyers: Letter from Walter J. St. Onge III, President, dated September 14, 2006
  19. National Federation of Municipal Analysts: Letter from Eric Friedland, Chairman, dated September 15, 2006
  20. Regional Municipal Operations Association: Letter from Thomas Sargant, President, dated September 27, 2006
  21. Securities Industry Association: Letter from Elizabeth Varley, Vice-President and Director of Retirement Policy, and Michael D. Udoff, Vice-President, Associate General Counsel and Secretary, dated September 20, 2006
  22. Standard & Poor’s CUSIP Service Bureau: Letter from Gerard Faulkner, Director – CUSIP Operations, dated September 15, 2006
  23. Stone, Daniel E.: Letter dated September 2, 2006
  24. TRB Associates: Letter from Ruth D. Brod, Consultant, dated September 14, 2006
  25. UBS Securities LLC: Letter from Terry L. Atkinson, Managing Director, dated September 15, 2006
  26. UMB Bank, N.A.: Letter from James C. Thompson, Divisional Executive Vice President, Investment Banking Division, dated September 14, 2006
  27. USAA Investment Management Company: Letter from Eileen M. Smiley, Vice President and Assistant Secretary, dated September 15, 2006
  28. Wells Fargo Institutional Brokerage & Sales: Letter from John McCune, President, dated September 14, 2006
  29. Zions Bank Public Finance: E-mail from Eric Pehrson, Vice President, dated September 8, 2006
Notice 2005-06 - Request for Comment
Publication date: | Comment due:
Notice 2004-12 - Request for Comment
Publication date: | Comment due: