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Compliance Resource
Publication date:
Notice 2021-16 - Informational Notice
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Notice 2021-12 - Request for Comment
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Information for:

Bank Dealers, Dealers, Municipal Advisors

1. Bond Dealers of America: Letter from Michael Decker, Senior Vice President, dated January 19, 2022

2. First River Advisory L.L.C.: Letter from Shelley J. Aronson dated January 18, 2022

3. National Association of Municipal Advisors: Letter from Susan Gaffney, Executive Director, dated January 19, 2022

4. Securities Industry and Financial Markets Association: Letter from Leslie M. Norwood, Managing Director and Associate General Counsel, and Matthew Roberts, Assistant Vice President, dated January 19, 2022

Notice 2020-09 - Informational Notice
Publication date:
Notice 2020-07 - Informational Notice
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Compliance Resource
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Notice 2018-18 - Regulatory Reminder
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Information for:

General Public, Investors, Issuers, Municipal Advisors

Compliance Resource
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Compliance Resource
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Information for:

Municipal Advisors

Rule Number:

Rule G-44

Notice 2017-08 - Informational Notice
Publication date:
Compliance Resource
Publication date:
Compliance Resource
Publication date:
Information for:

Municipal Advisors

Rule Number:

Rule G-44