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Notice 2009-51 - Request for Comment
Publication date: | Comment due:
Request for Comment: Rule G-37 on Political Contributions and Prohibitions on Municipal Securities Business – Bank and Bank Holding Company Political Action Committee Contributions
Rule Number:

Rule G-37


Comments on MSRB Notice 2009-51 (September 16, 2009)

  1. ABA Securities Association: Letter from Carolyn Walsh, Deputy General Counsel, dated October 30, 2009
  2. BMO Capital Markets GKST Inc.: Letter from Robert J. Stracks, Counsel, dated October 30, 2009
  3. Securities Industry and Financial Markets Association: Letter from Leslie M. Norwood, Managing Director and Associate General Counsel, dated October 30, 2009
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Notice 2009-35 - Request for Comment
Publication date: | Comment due:
Request for Comment: Rule G-37 on Political Contributions and Prohibitions on Municipal Securities Busiiness - Bond Ballot Campaign Committee Contributions
Rule Number:

Rule G-37


Comments on MSRB Notice 2009-35 (June 22, 2009) 

  1. BMO Capital Markets: Letter from Robert J. Stracks, Counsel, dated August 7, 2009
  2. George K. Baum & Company: Letter from Robert K. Dalton, Vice Chairman, dated July 30, 2009
  3. George K. Baum & Company, Letter from Kent Lund, Executive Vice President, Chief Compliance Officer, dated August 7, 2009
  4. Morgan Stanley: Letter from Stratford Shields, Managing Director, Head of Public Finance, dated July 30, 2009
  5. Piper Jaffray & Co.: Letter from Frank Fairman, Managing Director, Head of Public Finance Services, and Rebecca Lawrence, Assistant General Counsel, dated August 7, 2009
  6. Regional Bond Dealers Association: Letter from Michael Decker, Co-Chief Executive Officer, and Mike Nicholas, Co-Chief Executive Officer, dated August 7, 2009
  7. Securities Industry and Financial Markets Association: Letter from Leslie M. Norwood, Managing Director and Associate General Counsel, dated August 7, 2009
  8. Stone & Youngberg: Letter from Kenneth E. Williams, President, Chief Executive Officer, dated August 13, 2009
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