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Notice 2022-08 - Approval Notice
Publication date:
Notice 2019-08 - Request for Comment
Publication date: | Comment due:
Information for:

Municipal Advisors

Rule Number:

Rule G-34

1. Bernardi Securities, Inc.: Letter from Lou Lamberti, Sr. Vice President, dated May 24, 2019

2. Bloomberg L.P.: Letter from Peter Warms, Senior Manager, Entity and Identifier Services, dated May 28, 2019

3. Bond Dealers of America: Letter from Michael Nicholas, Chief Executive Officer, dated May 28, 2019

4. Dixworks LLC: Letter from Dennis Dix, Jr., dated March 4, 2019

5. Lamont Financial Services Corporation: Letter from Robert A. Lamb, President, dated May 7, 2019

6. National Association of Municipal Advisors: Letter from Susan Gaffney, Executive Director, dated May 28, 2019

7. Securities Industry and Financial Markets Association: Letter from Leslie M. Norwood, Managing Director and Associate General Counsel, dated May 28, 2019

8. Municipal Solutions, Inc.: Letter from Jeffrey R. Smith, President, dated May 28, 2019

Compliance Resource
Publication date:
Notice 2017-25 - Approval Notice
Publication date:
Information for:

Bank Dealers, Dealers, Municipal Advisors

Rule Number:

Rule G-34

Notice 2017-11 - Request for Comment
Publication date: | Comment due:
Information for:

Bank Dealers, Issuers, Municipal Advisors

Rule Number:

Rule G-34

1.  Acacia Financial Group, Inc.: Letter from Noreen P. White, Co-President, and Kim M. Whelan, Co-President, dated June 29, 2017

2.  American Bankers Association: Letter from Cristeena G. Naser, Vice President and Senior Counsel, Center for Securities, Trust and Investment, dated June 30, 2017

3.  Bloomberg L.P.: Letter from Peter Warms, Senior Manager of Fixed Income, Entity, Regulatory Content and Symbology

4.  Bond Dealers of America: Letter from Mike Nicholas, Chief Executive Officer, dated June 29, 2017

5.  Center for Municipal Finance: Letter from Marc D. Joffe, President, dated June 28, 2017

6.  Eastern Bank: Letter 

7.  Fieldman Rolapp & Associates: Letter from Adam S. Bauer, Chief Executive Officer and President, dated June 30, 2017

8.  Government Capital Securities Corp: Email from Ted Christensen dated June 1, 2017

9.  Government Finance Officers Association: Letter from Emily Brock, Director, Federal Liaison Center, dated June 30, 2017

10.  National Association of Municipal Advisors: Letter from Susan Gaffney, Executive Director, dated June 30, 2017

11.  New Jersey State League of Municipalities: Letter from Michael F. Cerra, Assistant Executive Director, dated June 27, 2017

12.  PFM: Letter from Leo Karwejna, Chief Compliance Officer, Cheryl Maddox, General Counsel, and Catherine Humphrey-Bennett, Municipal Advisory Compliance Officer, dated July 3, 2017

13.  Piper Jaffray & Co.: Letter from Frank Fairman, Managing Director, Head of Public Finance Services, and Rebecca Lawrence, Managing Director, Associate General Counsel, Public Finance and Fixed Income, dated June 29, 2017

14.  Securities Industry and Financial Markets Association: Letter from Leslie M. Norwood, Managing Director and Associate General Counsel, dated June 30, 2017

15.  Southern Municipal Advisors, Inc.: Letter from Michael C. Cawley, Senior Consultant, dated June 29, 2017

16.  Township of East Brunswick: Email from L. Mason Neely dated June 2, 2017

Notice 2017-05 - Request for Comment
Publication date: | Comment due:
Information for:

Bank Dealers, Dealers, Municipal Advisors

Rule Number:

Rule G-34

1.  Acacia Financial Group, Inc.: Letter from Noreen P. White, Co-President, and Kim M. Whelan, Co-President, dated March 31, 2017

2.  American Bankers Association: Letter from Cristeena G. Naser, Vice President and Senior Counsel, Center for Securities, Trust and Investment, dated March 24, 2017

3.  Bloomberg, L.P.: Letter from Peter Warms, Senior Manager of Fixed Income, Entity, Regulatory Content and Symbology 

4.  Bond Dealers of America: Letter from Mike Nicholas, Chief Executive Officer, dated March 31, 2017

5.  CUSIP Global Services: Letter from Scott J. Preiss, Managing Director, Global Head, dated March 30, 2017

6.  Dixworks LLC: E-mail from Dennis Dix, Jr., Principal, dated March 29, 2017

7.  First River Advisory LLC: E-mail from Shelley Aronson dated March 22, 2017

8.  George K. Baum & Company: Letter from Guy E. Yandel, EVP and Co-Manager Public Finance, Dana L. Bjornson, EVP, CFO and Chief Compliance Officer, and Andrew F. Sears, EVP and General Counsel, dated March 31, 2017

9.  Government Finance Officers Association: Letter from Emily Brock, Director, Federal Liaison Center, dated March 31, 2017

10.  National Association of Health and Educational Facilities Finance Authorities: Letter from Donna Murr, President, and Martin Walke, Advocacy Committee Chair, dated March 31, 2017

11.  National Association of Municipal Advisors: Letter from Susan Gaffney, Executive Director, dated March 31, 2017

12.  National Federation of Municipal Analysts; Letter from Julie Egan, Chair, and Lisa Washburn, Industry Practices and Procedures Chair, dated March 31, 2017

13.  Opus Bank: E-mail from Dmitry Semenov, Senior Managing Director, Public Finance, dated March 15, 2017

14.  PFM: Letter from Cheryl Maddox, General Counsel, and Leo Karwejna, Chief Compliance Officer, dated March 31, 2017

15.  Phoenix Advisors, LLC: Letter from David B. Thompson, CEO, dated March 21, 2017

16.  Piper Jaffray & Co.: Letter from Frank Fairman, Managing Director, Head of Public Finance Services, and Rebecca Lawrence, Managing Director, Associate General Counsel, Public Finance and Fixed Income, dated March 31, 2017

17.  Rudy Salo: E-mail dated March 31, 2017

18.  Securities Industry and Financial Markets Association: Letter from Leslie M. Norwood, Managing Director and Associate General Counsel, dated March 31, 2017

19.  SMA: E-mail from Michael Cawley dated March 21, 2017

20.  State of Florida, Division of Bond Finance: Letter from J. Ben Watkins III, Director, dated April 7, 2017

Notice 2013-11 - Informational Notice
Publication date:
Information for:

Bank Dealers, Dealers, Municipal Advisors

Rule Number:

Rule G-32, Rule G-34

Notice 2012-64 - Informational Notice
Publication date:
Notice 2012-54 - Informational Notice
Publication date:
Notice 2012-52 - Informational Notice
Publication date:
Notice 2012-48 - Informational Notice
Publication date:
Notice 2012-35 - Informational Notice
Publication date:
Notice 2012-20 - Informational Notice
Publication date:
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 2012-14 - Request for Comment
Publication date: | Comment due:
Information for:

Rule Number:

Rule G-34


1.  Bond Dealers of America: Letter from Michael Nicholas, Chief Executive Officer, dated April 10, 2012

2.  Full Life Financial LLC: Letter from Keith Newcomb, Portfolio Manager, dated April 14, 2012

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

4.  Kious and Co.: E-mail from Michael Kious dated March 13, 2012

5.  M. E. Allison & Co., Inc.: Letter from Christopher R. Allison, Chief Financial Officer, dated March 13, 2012

6.  McGuirk, Hugh: E-mail dated March 14, 2012

7.  National Association of Independent Public Finance Advisors: Letter from Colette J. Irwin-Knott, President, dated April 9, 2012

8.  Oppenheimer & Co. Inc.: Letter from Allison F. Fleitas II, Managing Director, Municipal Capital Markets Group

9.  UMB Bank, N.A.: E-mail from Kristin Koziol dated March 30, 2012

Notice 2011-55 - Informational Notice
Publication date:
Notice 2011-44 - Informational Notice
Publication date:
Notice 2011-26 - Informational Notice
Publication date:
Notice 2011-17 - Informational Notice
Publication date:
Notice 2011-11 - Informational Notice
Publication date:
Notice 2011-09 - Informational Notice
Publication date: