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Notice 2014-15 - Request for Comment
Publication date: | Comment due:
Information for:

Bank Dealers, Dealers, Municipal Advisors


1.  American Council of Engineering Companies: Letter from David A. Raymond, President and CEO, dated October 1, 2014

2.  Anonymous: E-mail dated October 1, 2014

3.  Bond Dealers of America: Letter from Michael Nicholas, Chief Executive Officer, dated October 1, 2014

4.  Bond Dealers of America: Letter from Michael Nicholas, Chief Executive Officer, dated October 8, 2014

5.  Caplin & Drysdale: Letter from Trevor Potter and Matthew T. Sanderson dated September 30, 2014

6.  Castle Advisory Company LLC: E-mail from Stephen Schulz dated August 18, 2014.

7.  Center for Competitive Politics: Letter from Allen Dickerson, Legal Director, dated October 1, 2014

8.  Dave A. Sanchez: Letter dated November 5, 2014

9.  Hardy Callcott: E-mail dated September 9, 2014

10.  National Association of Independent Public Finance Advisors: Letter from Jeanine Rodgers Caruso, President, dated October 1, 2014

11.  Public Citizen, et. al.: Letter dated October 1, 2014 from Bartlett Naylor, Financial Policy Advocate, and Craig Holman, Government Affairs Lobbyist, Public Citizen; Ron Fein, Legal Director, Free Speech for People; John Harrington, President, Harrington Investments, Inc.; New Progressive Alliance; American Federation of State, County and Municipal Employees; ReFund America Project at the Roosevelt Institute; U.S. PIRG; Consumer Federation of America; and Americans for Financial Reform

12.  Securities Industry and Financial Markets Association: Letter from Leslie M. Norwood, Managing Director and Associate General Counsel, dated September 30, 2014

13.  WM Financial Strategies: Letter from Joy A. Howard, Principal, dated October 1, 2014

 

Notice 2012-43 - Request for Comment
Publication date: | Comment due:
Information for:

Bank Dealers, Dealers

Rule Number:

Rule G-8, Rule G-37


1.  Barclays: Letter from Robert Taylor, Managing Director, Head of Municipal Finance, dated September 17, 2012

2.  California Association of County Treasurers and Tax Collectors: Letter from Wayne Hammar, President, dated September 13, 2012

3.  Center for Competitive Politics: Letter from Allen Dickerson, Legal Director, dated September 17, 2012

4.  Government Financial Strategies Inc.: Letter from Robert W. Doty, General Counsel, dated September 17, 2012

5.  Magis Advisors: Letter from Timothy J. Schaefer, President/Principal Owner, dated September 14, 2012

6.  Morgan Stanley: Letter from Stratford Shields, Managing Director, dated September 17, 2012

7.  National Association of Independent Public Finance Advisors: Letter from Colette J. Irwin-Knott, President, dated September 17, 2012

8.  Securities Industry and Financial Markets Association: Letter from Leslie M. Norwood, Managing Director and Associate General Counsel, dated September 17, 2012

Notice 2011-04 - Request for Comment
Publication date: | Comment due:
Information for:

1.  Acacia Financial Group, Inc.: Letter from Kim M. Whelan, Co-President, dated February 25, 2011

2.  American Bankers Association: Letter from Cristeena G. Naser, Senior Counsel, dated February 25, 2011

3.  American Governmental Financial Services: E-mail from Robert Doty, President, dated March 1, 2011

4.  BMO Capital Markets GKST Inc.: Letter from Robert J. Stracks, Counsel, dated February 25, 2011

5.  Callcott, W. Hardy: Letter dated February 8, 2011

6.  Fisher, Robert: E-mail dated February 25, 2011

7.  G.L. Hicks Financial LLC: E-mail from Dareth Goulding, dated January 14, 2011

8.  H.J. Umbaugh & Associates: Letter from Gerald G. Malone, dated February 24, 2011

9.  National Association of Independent Public Finance Advisors: Letter from Colette Irwin-Knott, President, dated February 24, 2011

10.  Repex & Co., Inc.: E-mail from Erich Sokolower, dated January 14, 2011

11.  Securities Industry and Financial Markets Association: Letter from Leslie M. Norwood, Managing Director and Associate General Counsel, dated February 25, 2011

12.  State of Texas: Letter from Susan Combs, Texas Comptroller of Public Accounts, dated February 25, 2011

13.  State of Texas: Letter from Charles B. McDonald, Assistant Attorney General, Office of Attorney General of Texas, dated February 25, 2011

14.  T. Rowe Price: Letter from David Oestreicher, Chief Legal Counsel, dated February 25, 2011

15.  The PFM Group: Letter from Joseph J. Connolly, General Counsel, dated February 23, 2011

16.  WM Financial Strategies: Letter from Joy A. Howard, Principal, dated February 21, 2011

Notice 2010-30 - Request for Comment
Publication date: | Comment due:
Information for:

Rule Number:

Rule G-37


Comments on MSRB Notice 2010-30 (August 25, 2010)

1.  ABA Securities Association: Letter from Carolyn Walsh, Deputy General Counsel, dated October 29, 2010

2.  BOK Financial Corporation: Letter from Tom Vincent, Senior Vice President, Manager, Corporate Governance and Wealth Management Compliance, dated October 29, 2010

3.  Securities Industry and Financial Markets Association: Letter from Leslie M. Norwood, Managing Director and Associate General Counsel, dated October 29, 2010

Notice 2009-51 - Request for Comment
Publication date: | Comment due:
Information for:

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
Notice 2009-35 - Request for Comment
Publication date: | Comment due:
Information for:

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
Notice 2004-32 - Request for Comment
Publication date: | Comment due:
Notice 2004-11 - Request for Comment
Publication date: | Comment due:
Notice 2002-12 - Request for Comment
Publication date: | Comment due:
Notice 2001-19 - Request for Comment
Publication date: | Comment due:
Information for:

Rule Number:

Rule G-37

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