Select regulatory documents by category:
Bank Dealers, Dealers, Municipal Advisors
All Comments to Notice 2019-13
1. Acacia Financial Group, Inc.: Letter from Kim M. Whelan, Co-President, and Noreen P. White, Co-President, dated August 19, 2019
2. Bond Dealers of America: Letter from Michael Nicholas, Chief Executive Officer, dated August 23, 2019
3. Columbia Capital Management, LLC: Letter from Jeff White, Managing Member, dated August 19, 2019
4. Crews & Associates, Inc.: Letter from Don Winton, Chief Operating Officer, dated August 23, 2019
5. Ehlers: Letter from Phil Cosson, Ehlers Board Chairman
6. First Kentucky Securities Corp.: Email from Stan Kramer dated August 13, 2019
7. Government Finance Officers Association: Letter from Emily Swenson Brock, Director, Federal Liaison Center, dated August 19, 2019
8. KPM Financial, LLC: Letter from Jay Saunders, Director
9. Kutak Rock LLP: Letter from Joshua P. Meyer dated August 16, 2019
10. Lewis Young Robertson & Burningham, Inc.: Letter from Laura D. Lewis, Principal, dated August 7, 2019
11. National Association of Municipal Advisors: Letter from Susan Gaffney, Executive Director, dated August 19, 2019
12. Phoenix Advisors, LLC: Letter from David B. Thompson, CEO, dated August 14, 2019
13. Richard Li: Email dated January 29, 2020
14. Robert W. Doty: Letter dated August 19, 2019
15.Securities Industry and Financial Markets Association: Letter from Leslie M. Norwood, Managing Director and Associate General Counsel, and Bernard V. Canepa, Vice-President and Assistant General Counsel, dated August 19, 2019
16. Speer Financial, Inc.: Letter from Daniel Forbes, President, dated August 19, 2019
17. State of Florida, Division of Bond Finance: Letter from J. Ben Watkins III, Director, dated September 3, 2019
18. Zions Public Finance, Inc. and Zions Bank Public Finance: Letter from James Livingston, Executive Vice President, dated August 14, 2019
Municipal Advisors
All Comments to Notice 2019-08
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
All Comments to Notice 2019-01
1. Bond Dealers of America: Letter from Mike Nicholas, Chief Executive Officer, dated March 5, 2019
2. Regional Brokers, Inc.: Letter from H. Deane Armstrong, CCO, and Joseph A. Hemphill, CEO, dated March 7, 2019
3. Securities Industry and Financial Markets Association: Letter from Leslie M. Norwood, Managing Director and Associate General Counsel, dated March 6, 2019
Comments on MSRB Notice 2008-24 (May 23, 2008)
- Digital Assurance Certification LLC: Letter from Paula Stuart, Chief Executive Officer, dated July 1, 2008
- Depository Trust and Clearing Corporation: Letter from Daniel Thieke, Vice President, dated June 26, 2008
- Merrill Lynch : Letter from Christine Walsh, Managing Director, dated June 26, 2008
- Saber Partners, LLC: Letter from Joseph S. Fichera, Senior Managing Director and CEO, dated July 9, 2008
- RW Smith and Associates, Inc.: Letter from S. Lauren Heyne, Chief Compliance Officer, dated June 30, 2008
- Securities Industry and Financial Markets Association: Letter from Leslie M. Norwood, Managing Director and Associate General Counsel, dated June 30, 2008
- SunTrust Robinson Humphrey: Letter from Dara L. Smith, Managing Director, dated June 27, 2008
- Thornton Farish Inc.: Letter from Joseph A. Whitehead, dated June 30, 2008
- W.R. Taylor and Company, LLC: Letter from Belle Walker, Senior Vice President, dated August 7, 2008
Comments on MSRB Notice 2008-19 (April 11, 2008)
- Securities Industry and Financial Markets Association: Letter from Leslie M. Norwood, Managing Director and Associate General Counsel, dated June 5, 2008
- UMB Bank, N.A.: E-mail from Kristin M. Koziol, Vice President & Manager of Municipal Underwriting, dated April 25, 2008
Request for Comment: Plan for Increasing Information Available for Municipal Auction Rate Securities
Comments on MSRB Notice 2008-15 (March 17, 2008)
- Digital Assurance Certification, LLC: Letter from Paula Stuart, Chief Executive Officer, dated April 21, 2008
- McPherson, Jack B: Letter dated March 27, 2008
- Mikag: E-mail dated April 23, 2008
- Regional Bond Dealers Association: Letter from Michael Decker, Co-Chief Executive Officer, and Mike Nicholas, Co-Chief Executive Officer, dated April 21, 2008
- Saber Partners, LLC: Letter from Joseph S. Fichera, Senior Managing Director and CEO, dated July 9, 2008
- Securities Industry and Financial Markets Association:Letter from Leslie M. Norwood, Managing Director and Associate General Counsel, dated April 21, 2008
- Yankauer, Jeff: E-mail dated April 17, 2008
1. American Bankers Association: Letter from Cristeena G. Naser, Senior Counsel, Center for Securities, Trust & Investments, dated February 28, 2008
2. Council of Infrastructure Financing Authorities: Letter from Rick Farrell, Executive Director, dated February 25, 2008
3. First Southwest Company: Letter from Jack Addams, Managing Director, Public Finance, dated February 25, 2008
4. Government Finance Officers Association; National Association of State Auditors, Comptrollers and Treasurers; National Association of State Treasurers: Letter from Jeffrey L. Esser, GFOA Executive Director and CEO; Vernon L. Larson, NASACT President & South Dakota State Treasurer; and Lynn Jenkins, NAST President & Kansas State Treasurer; dated February 25, 2008
5. Investment Company Institute: Letter from Heather Traeger, Assistant Counsel, dated February 25, 2008
6. National Association of Bond Lawyers: Letter from J. Foster Clark, President, dated February 25, 2008
7. National Association of Health and Education Facilities Finance Authorities: Letter from Robert Donovan, Executive Director, Rhode Island Health and Educational Building Corporation, and Stephen M. Fillebrown, Director of Research, Investor Relations and Compliance, New Jersey Health Care Facilities Financing Authority, dated March 3, 2008
8. National Association of Independent Public Finance Advisors: Letter from Kathleen A. Aho, President, dated March 10, 2008
9. National Federation of Municipal Analysts: Letter from Rob Yolland, Chairman, dated March 10, 2008
10. Securities Industry and Financial Markets Association: Letter from Leslie M. Norwood, Managing Director and Associate General Counsel, dated February 25, 2008
