Select regulatory documents by category:
Back to top
Notice 2010-35 - Request for Comment
Publication date: | Comment due:
Information for:


Comments on MSRB Notice 2010-35 (September 9, 2010)

1.  Associated Bond Brokers, Inc.: Letter from Pamela M. Miller, President, dated November 10, 2010
2.  Hartfield, Titus & Donnelly, LLC: Letter from Mark J. Epstein, President, dated November 22, 2010
3.  Regional Brokers, Inc.: Letter from Joseph A. Hemphill, III, CEO, and H. Deane Armstrong, CCO, dated November 15, 2010
4.  RW Smith & Associates: E-mail from S. Lauren Heyne, Chief Compliance Officer, dated November 19, 2010
5.  Securities Industry and Financial Markets Association: Letter from Leslie M. Norwood, Managing Director and Associate General Counsel, dated November 15, 2010
6.  TheMuniCenter, L.L.C.: Letter from Thomas S. Vales, Chief Executive Officer, dated November 10, 2010
7.  Wolfe & Hurst Bond Brokers, Inc.: Letter from O. Gene Hurst, dated November 5, 2010
8.  Wolfe & Hurst Bond Brokers, Inc.: Letter from O. Gene Hurst, dated November 29, 2010

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 2010-10 - Request for Comment
Publication date: | Comment due:
Information for:

Rule Number:

Rule G-30


Comments on MSRB Notice 2010-10 (April 21, 2010)

1.  BMO Capital Markets: Letter from Robert J. Stracks, Counsel, dated June 7, 2010
2.  Citigroup Global Markets: Letter from Howard Marsh, Managing Director, Municipal Securities Division, dated June 14, 2010
3.  Coastal Securities, Inc.: Letter from Chris Melton, Executive Vice President, dated August 3, 2010
4.  J.J.B. Hilliard, W.L. Lyons, LLC: Letter from Ronald J. Dieckman, Director, Municipal Bonds, dated June 4, 2010
5.  Regional Bond Dealers Association: Letter from Mike Nicholas, Chief Executive Officer, dated June 4, 2010
6.  Riedl First Securities: Letter from Gerald D. Riedl, President/CEO, dated June 1, 2010
7.  Roberts & Ryan Investments Inc.: E-mail from Daniel W. Roberts, President/CEO, dated April 21, 2010
8.  RW Smith and Associates, Inc.: Letter from Paige W. Pierce, President and CEO, dated June 4, 2010
9.  Securities Industry and Financial Markets Association: Letter from Leslie M. Norwood, Managing Director and Associate General Counsel, dated June 7, 2010