Select regulatory documents by category:
All Comments to Notice 2021-18
1. National Association of Municipal Advisors: Letter from Susan Gaffney, Executive Director, dated March 15, 2022
2. Securities Industry and Financial Markets Association: Letter from Leslie M. Norwood, Managing Director and Associate General Counsel, dated March 15, 2022
3. Third-Party Marketers Association: Letter from Donna DiMaria, Chairman of the Board of Directors and Chair of the 3PM Regulatory Committee, dated March 15, 2022
Municipal Fund Securities
All Comments to Notice 2021-17
1. 1919 Investment Counsel, LLC: Letter from Robert Fisher, Vice President, Credit Analyst - Municipal
2. AGVP Advisory: Email from Dan Aschenbach dated January 18, 2022
3. American Bankers Association: Letter from Justin M. Underwood, Executive Director, ABASA, Vice President, Banking Policy, dated March 8, 2022
4. American Securities Association: Letter from Christopher A. Iacovella, Chief Executive Officer, dated March 8, 2022
5. Anonymous: Email dated February 21, 2022
6. Baker Tilly Municipal Advisors, LLC: Letter from the BTMA Disclosure Leadership Team: Brian Colton, Susan Reed and Alyssa Glaser, dated March 8, 2022
7. Bloomberg L.P.: Letter from Gregory Babyak, Global Head of Regulatory Affairs, dated March 8, 2022
8. Bond Dealers of America: Letter from Michael Decker, Senior Vice President, dated March 8, 2022
9. Breckinridge Capital Advisors, Inc.: Letter from Adam Stern, Co-Head of Research, dated February 7, 2022
10. Build America Mutual: Letter from Laura Levenstein, Chief Risk Officer, and Michael Stanton, Head of Strategy & Communications, dated March 8, 2022
11. California Green Bond Market Development Committee (CGBMDC): Letter from David Wooley, Cecilia Latapi, and Michael Paparian, Secretariat for CGBMDC, dated March 8, 2022
12. Center for American Progress: Letter from Alexandra Thornton, Senior Director, Tax Policy, and Kevin DeGood, Director, Infrastructure Policy, dated March 8, 2022
13. Ceres and the Ceres Accelerator for Sustainable Capital Markets: Letter from Steven M. Rothstein, Managing Director, and Jim Scott, Senior Advisor, Financial Institutions, dated March 2, 2022
14. City of Detroit: Letter
15. City of New York, Office of the Comptroller: Letter from Marjorie E. Henning, Deputy Comptroller for Public Finance, dated March 7, 2022
16. City of San Diego, Debt Management: Letter from Lakshmi Kommi, Debt Management Director, dated March 9, 2022
17. Climate Resilience Consulting: Email from Joyce Coffee dated December 17, 2021
18. Community Capital Management, LLC: Letter from Julie Egan, Director of Research/Portfolio Manager
19. Consumer Federation of America: Letter from Dylan Bruce, Financial Services Counsel, dated March 14, 2022
20. Disclosure Industry Workgroup: Letter dated March 8, 2022
21. Domini Impact Investments LLC: Letter from Mary Beth Gallagher, Director of Engagement, dated March 8, 2022
22. Goldman Sachs: Letter
23. Government Finance Officers Association: Letter from Emily Swenson Brock, Director, Federal Liaison Center, dated March 8, 2022
24. Intercontinental Exchange, Inc.: Letter from Anthony Belcher, Vice President, Sustainable Finance, dated March 14, 2022
25. Investment Company Institute: Letter from Dorothy Donohue, Deputy General Counsel - Securities Regulation, dated March 8, 2022
26. ISS ESG: Letter from Maximilian Horster, Head of ISS ESG Business, and John McLean, ISS ESG, Muni QualityScore, dated March 8, 2022
27. Kestrel 360, Inc.: Letter from Monica Reid, CEO and Founder, dated March 2022
28. Lansing Board of Water & Light: Email from Heather Shawa, dated March 3, 2022
29. Large Public Power Council: Letter from John Di Stasio, President, dated March 22, 2022
30. Lord Abbett & Co. LLC: Letter from Daniel S. Solender, Partner and Director of Tax Free Fixed Income
31. Ludvigsen, Phillip J.: Letter
32. MacKay Shields: Letter
33. McIntyre, James: Letter dated March 8, 2022
34. Milken Institute Center for Financial Markets: Letter from Dan Carol, Senior Director, Milken Institute Center for Financial Markets, and Caitlin MacLean, Senior Director, Innovative Finance, Milken Institute, and members of the Milken Institute Public Finance Advisory Council, dated March 8, 2022
35. National Association of Bond Lawyers: Letter from Ann D. Fillingham, President, dated March 7, 2022
36. National Association of College and University Business Officers: Letter from Elizabeth L. Clark, Vice President, Policy and Research, dated March 8, 2022
37. National Association of Health and Educational Facilities Finance Authorities: Letter from Dennis Reilly, President, and Charles Samuels, of Counsel, dated March 7, 2022
38. National Association of Municipal Advisors: Letter from Susan Gaffney, Executive Director, dated March 8, 2022
39. National Federation of Municipal Analysts: Letter from Lisa S. Good dated March 8, 2022
40. New Jersey Infrastructure Bank: Letter dated March 8, 2022
41. New York City Housing Development Corporation: Letter from Ellen K. Duffy, EVP Debt Issuance & Finance
42. PFM Financial Advisors, LLC: Letter from Cheryl Maddox, Chief Legal and Compliance Officer, and Daniel Hartman, Chief Executive Officer, dated March 7, 2022
43. PIMCO: Letter from David Hammer, Managing Director and Head of Municipal Bond Portfolio Management, dated March 4, 2022\
44. Principles for Responsible Investment: Letter from Greg Hershman, Head of US Policy, dated March 8, 2022
45. Public Finance Initiative: Letter from Lourdes German, Executive Director, dated March 8, 2022
46. San Francisco Public Utilities Commission: Letter
47. Securities Industry and Financial Markets Association: Letter from Leslie M. Norwood, Managing Director and Associate General Counsel, dated March 8, 2022
48. Sperry Capital Inc.: Letter from Bryant Jenkins, Principal, dated March 8, 2022
49. State of Florida, Division of Bond Finance: Letter dated March 8, 2022
50. State of Wisconsin, Department of Administration: Letter from David R. Erdman, Capital Finance Director, dated March 8, 2022
51. TIAA: Letter from Amy M. O'Brien, Executive Vice President, Head of Responsible Investment, and Yves P. Denize, Senior Managing Director, Division General Counsel, dated March 8, 2022
52. Utah State Treasurer et al.: Letter dated March 8, 2022
Municipal Advisors
Bank Dealers, Dealers, Municipal Advisors
All Comments to Notice 2021-12
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
Bank Dealers, Dealers, Investors
Dealers, Investors
Bank Dealers, Dealers, Municipal Advisors
All Comments to Notice 2021-08
1. American Securities Association: Letter from Christopher A. Iacovella, Chief Executive Officer, dated June 28, 2021
2. Bond Dealers of America: Letter from Michael Decker, Senior Vice President, dated June 28, 2021
3. Securities Industry and Financial Markets Association: Letter from Leslie M. Norwood, Managing Director and Associate General Counsel, dated June 28, 2021
4. Szaro, Jennifer: Email dated May 17, 2021
All Comments to Notice 2021-07
1. National Association of Municipal Advisors: Letter from Susan Gaffney, Executive Director, dated June 17, 2021
2. Securities Industry and Financial Markets Association: Letter from Leslie M. Norwood, Managing Director and Associate General Counsel, dated June 17, 2021
3. Third-Party Marketers Association: Letter from Donna DiMaria, Chairman of the Board of Directors and Chair of the 3PM Regulatory Committee, dated June 16, 2021
Bank Dealers
All Comments to Notice 2021-06
1. American Bankers Association: Letter from Justin M. Underwood, Executive Director - ABASA, Vice President, Banking Policy, dated June 2, 2021
2. American Securities Association: Letter from Christopher A. Iacovella, Chief Executive Officer, dated May 27, 2021
3. Capital Markets Group of Commerce Bank: Letter from Erik Swanson, Managing Director, and Joseph Reece, Chief Compliance Officer
4. Securities Industry and Financial Markets Association: Letter from Leslie M. Norwood, Managing Director and Associate General Counsel, dated June 2, 2021
Municipal Advisors
No comments available.
No comments available.
No comments available.
Comments on MSRB Notice 2006-19 (July 27, 2006)
- American Bar Association, Section of State and Local Government Law: Letter from Edward J. Sullivan, Chair, dated October 9, 2006
- American Governmental Financial Services Company: Letter from Robert W. Doty, President, dated September 15, 2006
- Automatic Data Processing, Inc.: Letter from Gerard F. Scavelli, Senior Vice President & General Manager, dated September 15, 2006
- Bernardi Securities, Inc.: Letter from Eric Bederman, Chief Compliance Officer, dated August 7, 2006
- Bond Market Association: Letter from Leslie M. Norwood, Vice President and Assistant General Counsel, dated September 15, 2006
- brokersXpress, LLC: Letter from Blaine Schwartz, President & CCO, dated September 15, 2006
- College Savings Plans Network: Letter from Jackie T. Williams, Chair, dated September 22, 2006
- Commerce Bancshares, Inc.: Letter from Michael A. Dardis, Manager of Trust and Investment Products Compliance, dated September 13, 2006
- Digital Assurance Certification LLC: Letter from Paula Stuart, Chief Executive Officer, dated September 29, 2006
- DPC DATA Inc.: Letter from Peter J. Schmitt, Chief Executive Officer, dated September 13, 2006
- Edward D. Jones & Co., LP: Letter from Robert Beck, Principal, Municipal Bonds, dated September 13, 2006
- First Southwest Company: Letter from Richard A. DeLong, Senior Vice President, Municipal Trading and Underwriting, dated September 15, 2006
- Griffin, Kubik, Stephens & Thompson, Inc.: Letter from Robert J. Stracks, Counsel, dated September 14, 2006
- Investment Company Institute: Letter from Elizabeth R. Krentzman, General Counsel, dated September 14, 2006
- J.J.B. Hilliard, W.L. Lyons, Inc.: Letter from Ronald J. Dieckman, Senior Vice President, Director of Public Finance/Municipals, dated August 4, 2006
- Morgan Keegan & Company, Inc.: Letter from Jerry L. Chapman, Managing Director, Municipal Product Manager, dated August 31, 2006
- Municipal Advisory Council of Texas: Letter from Gary P. Machak, Chairman, dated September 14, 2006
- National Association of Bond Lawyers: Letter from Walter J. St. Onge III, President, dated September 14, 2006
- National Federation of Municipal Analysts: Letter from Eric Friedland, Chairman, dated September 15, 2006
- Regional Municipal Operations Association: Letter from Thomas Sargant, President, dated September 27, 2006
- Securities Industry Association: Letter from Elizabeth Varley, Vice-President and Director of Retirement Policy, and Michael D. Udoff, Vice-President, Associate General Counsel and Secretary, dated September 20, 2006
- Standard & Poor’s CUSIP Service Bureau: Letter from Gerard Faulkner, Director – CUSIP Operations, dated September 15, 2006
- Stone, Daniel E.: Letter dated September 2, 2006
- TRB Associates: Letter from Ruth D. Brod, Consultant, dated September 14, 2006
- UBS Securities LLC: Letter from Terry L. Atkinson, Managing Director, dated September 15, 2006
- UMB Bank, N.A.: Letter from James C. Thompson, Divisional Executive Vice President, Investment Banking Division, dated September 14, 2006
- USAA Investment Management Company: Letter from Eileen M. Smiley, Vice President and Assistant Secretary, dated September 15, 2006
- Wells Fargo Institutional Brokerage & Sales: Letter from John McCune, President, dated September 14, 2006
- Zions Bank Public Finance: E-mail from Eric Pehrson, Vice President, dated September 8, 2006
No comments available.
No comments available.
