Select regulatory documents by category:
All Comments to Notice 2022-11
- Bond Dealers of America: Letter from Michael Decker, Senior Vice President, January 17, 2023
- Securities Industry and Financial Markets Association: Letter from Leslie M. Norwood, Managing Director and Associate General Counsel, dated January 27, 2023
- XBRL US: Letter from Campbell Pryde, President and CEO, dated December 15, 2022
Bank Dealers, Dealers
Bank Dealers, Dealers
Bank Dealers, Dealers
Bank Dealers, Dealers
All Comments to Notice 2018-15
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
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
Bank Dealers, Dealers
Bank Dealers, Dealers, Municipal Advisors
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
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
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
