Select regulatory documents by category:
Bank Dealers, Dealers, Municipal Advisors
All Comments to Notice 2018-29
1. Bond Dealers of America: Letter from Mike Nicholas, Chief Executive Officer, dated January 15, 2019
2. City of San Diego: Letter
3. Government Finance Officers Association: Letter from Emily S. Brock, Director, Federal Liaison Center, dated January 15, 2019
4. National Association of Municipal Advisors: Letter from Susan Gaffney, Executive Director, dated January 15, 2019
5. 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 January 15, 2019
Municipal Advisors
All Comments to Notice 2018-25
1. Bond Dealers of America: Letter from Mike Nicholas, Chief Executive Officer, dated October 17, 2018; and Letter from Michael Nicholas, Chief Executive Officer, dated November 30, 2018
2. National Association of Municipal Advisors: Letter from Susan Gaffney, Executive Director, dated October 17, 2018
3. Securities Industry and Financial Markets Association: Letter from Leslie M. Norwood, Managing Director and Associate General Counsel, dated October 17, 2018
4. Springsted Incorporated: Letter from Kathleen A. Aho, President, dated October 17, 2018
All Comments to Notice 2018-22
1. Amuni Financial, Inc.: Letter from Mike Petagna, President, dated October 31, 2018
2. Bond Dealers of America: Letter from Michael Nicholas, Chief Executive Officer, dated November 13, 2018
3. Emmet & Co.: Email from Robert Ventrice dated September 14, 2018
4. Hartfield, Titus & Donnelly, LLC: Letter from Edward J. Smith, Chief Compliance Officer, and Christopher C. Ferreri, Chief Operating Officer, dated November 13, 2018
5. Headlands Tech Global Markets, LLC: Letter from Matthew F. Andresen, Chief Executive Officer, dated October 26, 2018
6. Regional Brokers, Inc.: Letter from Joseph A. Hemphill, III, Chief Executive Officer, and H. Deane Armstrong, Chief Compliance Officer, dated November 6, 2018
7. RW Smith & Associates, LLC: Letter from Denien Rasmussen, Co-Chief Compliance Officer, Chief Operating Officer, dated November 13, 2018
8. Securities Industry and Financial Markets Association: Letter from Leslie M. Norwood, Managing Director and Associate General Counsel, dated November 13, 2018
9. TMC Bonds: Letter from Thomas S. Vales, Chief Executive Officer, dated November 14, 2018
Bank Dealers, Dealers
1. Wells Fargo Advisors: Letter from Robert J. McCarthy, Director of Regulatory Policy, dated November 5, 2018
Bank Dealers, Dealers, Municipal Advisors
All Comments to Notice 2018-20
1. Bond Dealers of America: Letter from Michael Nicholas, Chief Executive Officer, dated November 27, 2018
2. National Association of Municipal Advisors: Letter from Susan Gaffney, Executive Director, dated November 28, 2018
3. Securities Industry and Financial Markets Association: Letter from Michael Decker, Managing Director, dated November 27, 2018
All Comments to Notice 2018-19
1. Bond Dealers of America: Letter from Mike Nicholas, Chief Executive Officer, dated September 14, 2018
2. National Association of Municipal Advisors: Letter from Susan Gaffney, Executive Director, dated September 17, 2018
3. Securities Industry and Financial Markets Association: Letter from Leslie M. Norwood, Managing Director and Associate General Counsel, dated September 14, 2018
4. Wells Fargo Advisors: Letter from Robert J. McCarthy, Director of Regulatory Policy, dated September 14, 2018
Dealers
Bank Dealers, Dealers
Municipal Advisors
All Comments to Notice 2018-15
1. Acacia Financial Group, Inc.: Letter from Noreen P. White, Co-President, and Kim M. Whelan, Co-President, dated September 17, 2018
2. Bond Dealers of America: Letter from Mike Nicholas, Chief Executive Officer, dated September 17, 2018
3. C F I: Email from Stephen Holstein dated July 25, 2018
4. Ehlers Associates, Inc.: Letter from Steve Apfelbacher dated September 17, 2018
5. Government Finance Officers Association: Letter from Emily S. Brock, Director, Federal Liaison Center, dated September 19, 2018
6. National Association of Municipal Advisors: Letter from Susan Gaffney, Executive Director, dated September 18, 2018
7. National Federation of Municipal Analysts: Letter from Julie Egan, NFMA Industry Practices and Procedures Chair, and Lisa Washburn, NFMA Industry Practices and Procedures Co-Chair, dated September 17, 2018
8. Office of the Investor Advocate, U.S. Securities and Exchange Commission: Letter from Rick A. Fleming, Investor Advocate, dated September 17, 2018
9. Public Resources Advisory Group: Letter from Marianne F. Edmonds dated September 18, 2018
10. Securities Industry and Financial Markets Association: Letter from Leslie M. Norwood, Managing Director and Associate General Counsel, dated September 17, 2018
Municipal Advisors
Municipal Advisors
Municipal Advisors
All Comments to Notice 2018-14
1. Bond Dealers of America: Letter from Mike Nicholas, Chief Executive Officer, dated July 27, 2018
2. National Association of Municipal Advisors: Letter from Susan Gaffney, Executive Director, dated July 27, 2018
3. Securities Industry and Financial Markets Association: Letter from Leslie M. Norwood, Managing Director and Associate General Counsel, dated July 26, 2018
Issuers, Municipal Advisors
Bank Dealers, Dealers, Municipal Advisors
All Comments to Notice 2018-10
1. Bond Dealers of America: Letter from Mike Nicholas, Chief Executive Officer, dated August 6, 2018
2. Government Finance Officers Association: Letter from Emily S. Brock, Director, Federal Liaison Center, dated August 6, 2018
3. National Association of Municipal Advisors: Letter from Susan Gaffney, Executive Director, dated August 6, 2018
4. Securities Industry and Financial Markets Association: Letter from Leslie M. Norwood, Managing Director and Associate General Counsel, dated August 6, 2018
5. State of Florida, Division of Bond Finance: Letter from J. Ben Watkins III, Director, dated August 8, 2018
All Comments to Notice 2018-09
1. Bond Dealers of America: Letter from Mike Nicholas, Chief Executive Officer, dated July 16, 2018
2. Financial Services Institute: Letter from Robin Traxler, Vice President, Regulatory Affairs and Associate General Counsel, dated July 16, 2018
3. Securities Industry and Financial Markets Association: Letter from Leslie M. Norwood, Managing Director and Associate General Counsel, dated July 16, 2018
Municipal Advisors
All Comments to Notice 2018-03
1. Bond Dealers of America: Letter from Michael Nicholas, Chief Executive Officer, dated April 20, 2018
2. cfX Incorporated: Letter from Benjamin Madorsky, Chief Compliance Officer, dated April 16, 2018
3. Kensington Capital Advisors: Email from Kim Wyatt dated February 22, 2018
4. National Association of Health and Educational Facilities Finance Authorities: Letter from Charles A. Samuels, Counsel for NAHEFFA, dated April 16, 2018
5. National Association of Municipal Advisors: Letter from Susan Gaffney, Executive Director, dated April 16, 2018
6. PFM Financial Advisors LLC: Letter from Catherine Humphrey-Bennett, Municipal Advisory Compliance Officer, dated April 16, 2018
7. Piper Jaffray & Co.: Letter from Frank Fairman, Managing Director, Head of Public Finance Services, dated April 16, 2018
8. Securities Industry and Financial Markets Association: Letter from Leslie M. Norwood, Managing Director and Associate General Counsel, dated April 16, 2018
Comments on MSRB Notice 2009-51 (September 16, 2009)
- ABA Securities Association: Letter from Carolyn Walsh, Deputy General Counsel, dated October 30, 2009
- BMO Capital Markets GKST Inc.: Letter from Robert J. Stracks, Counsel, dated October 30, 2009
- Securities Industry and Financial Markets Association: Letter from Leslie M. Norwood, Managing Director and Associate General Counsel, dated October 30, 2009
Comments on MSRB Notice 2009-47 (August 11, 2009)
- First Southwest Company: Letter from Carl Giles, Managing Director, dated September 10, 2009
- Metropolitan Washington Airports Authority: Letter from Lynn Hampton, CPA, Vice President for Finance and Chief Financial Officer, dated August 18, 2009
- Regional Bond Dealers Association: Letter from Michael Decker, Co-Chief Executive Officer, and Mike Nicholas, Co-Chief Executive Officer, dated September 11, 2009
- Securities Industry and Financial Markets Association: Letter from Leon J. Bijou, Managing Director and Associate General Counsel, dated September 11, 2009
- Siebert Brandford Shank & Co., LLC: Letter from Napoleon Brandford, III, Chairman, dated September 8, 2009
Comments on MSRB Notice 2009-43 (July 14, 2009)
- Allstate Investments, LLC: Letter from Patricia W. Wilson, Senior Managing Director, Global Alternatives, dated September 1, 2009
- BMO Capital Markets GKST Inc: Letter from Robert J. Stracks, Counsel, dated September 1, 2009
- First Southwest Company: Letter from Carl Giles, Managing Director, dated August 31, 2009
- Regional Bond Dealers Association: Letter from Michael Decker, Co-Chief Executive Officer, and Mike Nicholas, Co-Chief Executive Officer, dated September 1, 2009
- Securities Industry and Financial Markets Association: Letter from Leslie M. Norwood, Managing Director and Associate General Counsel, dated September 1, 2009
Comments on MSRB Notice 2009-35 (June 22, 2009)
- BMO Capital Markets: Letter from Robert J. Stracks, Counsel, dated August 7, 2009
- George K. Baum & Company: Letter from Robert K. Dalton, Vice Chairman, dated July 30, 2009
- George K. Baum & Company, Letter from Kent Lund, Executive Vice President, Chief Compliance Officer, dated August 7, 2009
- Morgan Stanley: Letter from Stratford Shields, Managing Director, Head of Public Finance, dated July 30, 2009
- Piper Jaffray & Co.: Letter from Frank Fairman, Managing Director, Head of Public Finance Services, and Rebecca Lawrence, Assistant General Counsel, dated August 7, 2009
- Regional Bond Dealers Association: Letter from Michael Decker, Co-Chief Executive Officer, and Mike Nicholas, Co-Chief Executive Officer, dated August 7, 2009
- Securities Industry and Financial Markets Association: Letter from Leslie M. Norwood, Managing Director and Associate General Counsel, dated August 7, 2009
- Stone & Youngberg: Letter from Kenneth E. Williams, President, Chief Executive Officer, dated August 13, 2009
Comments on MSRB Notice 2009-20 (May 12, 2009)
- First Southwest Company: Letter from Hill A. Feinberg, Chairman, dated June 26, 2009
- Securities Industry and Financial Markets Association: Letter from Leslie M. Norwood, Managing Director and Associate General Counsel, dated June 29, 2009