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Notice 2013-22 - Request for Comment
Publication date: | Comment due:
Information for:

Bank Dealers, Dealers


1.  Bartholomew, Patricia E., 2014 Chair, Securities Industry Council on Continuing Education, and Bartol, William E., 2013 Chair, Securities Industry Council on Continuing Education: Letter dated January 13, 2014

2.  Bond Dealers of America: Letter from Michael Nicholas, Chief Executive Officer, dated January 13, 2014

3.  Diamant Investment Corporation: E-mail from Herbert Diamant dated December 13, 2013

4.  Financial Services Institute: Letter from David T. Bellaire, Executive Vice President and General Counsel, dated January 13, 2014

5.  Investment Company Institute: Letter from Tamara K. Salmon, Senior Associate Counsel, dated January 13, 2014

6.  MetLife Securities, Inc.: Letter from Jennifer Lewis, Corporate Counsel, dated January 13, 2014

7.  National Society of Compliance Professionals: Letter from Judy Werner, Executive Director, dated January 14, 2014

8.  Romano Wealth Management: E-mail from Joe Romano dated January 13, 2014

9.  RW Smith & Associates, Inc.: E-mail from Paige Pierce dated January 13, 2014

10.  Securities Industry and Financial Markets Association: Letter from David L. Cohen, Managing Director and Associate General Counsel, dated January 13, 2014

11.  Wulff, Hansen & Co.: Letter from Chris Charles, President, dated January 9, 2014

Notice 2013-19 - Request for Comment
Publication date: | Comment due:
Information for:

Bank Dealers, Dealers, Municipal Advisors

Rule Number:

Rule A-12


1. Financial Services Institute: Letter from David T. Bellaire, Executive Vice President and General Counsel, dated September 20, 2013

2. National Association of Independent Public Finance Advisors: Letter from Jeanine Rodgers Caruso, President, dated September 20, 2013

3. Securities Industry and Financial Markets Association: Letter from Leslie M. Norwood, Managing Director and Associate General Counsel, dated September 20, 2013

4. U.S. Bancorp Investments, Inc.: E-mail from Herbert Neufeld dated August 19, 2013

Notice 2013-16 - Request for Comment
Publication date: | Comment due:
Information for:

Bank Dealers, Dealers

Rule Number:


1. Ambassador Financial Group: E-mail from Allen Collins dated August 8, 2013

2. Barclays Capital Inc.: Letter from Jennifer Small, Municipal Compliance, dated October 7, 2013

3. Bond Dealers of America: Letter from Michael Nicholas, Chief Executive Officer, dated October 7, 2013

4. Financial Services Institute: Letter from David T. Bellaire, Executive Vice President and General Counsel, dated October 7, 2013

5. Interactive Data Corporation: Letter from Mark Hepsworth, President, Interactive Data Pricing and Reference Data, dated October 7, 2013

6. Investment Company Institute: Letter from Tamara K. Salmon, Senior Associate Counsel, dated September 20, 2013

7. J.J.B. Hilliard, W.L. Lyons LLC: Letter from Alex Rorke, Director, Public Finance

8. Melton, Chris: Letter dated September 26, 2013

9. Private Investor: E-mail from Private Investor dated September 2, 2013

10. Securities Industry and Financial Markets Association: Letter from David L. Cohen, Managing Director and Associate General Counsel, dated October 7, 2013

11. Wells Fargo Advisors, LLC: Letter from Robert J. McCarthy, Director of Regulatory Policy, dated October 7, 2013

Notice 2013-15 - Request for Comment
Publication date: | Comment due:
Information for:

Bank Dealers, Dealers

Rule Number:

Rule G-18, Rule G-30

1. Financial Services Institute: Letter from David T. Bellaire, Executive Vice President and General Counsel, dated September 20, 2013

2. Investment Company Institute: Letter from Tamara K. Salmon, Senior Associate Counsel, dated September 20, 2013

3. Securities Industry and Financial Markets Association: Letter from David L. Cohen, Managing Director, Associate General Counsel, dated September 20, 2013

4. Wells Fargo Advisors, LLC: Letter from Robert J. McCarthy, Director of Regulatory Policy, dated September 20, 2013

5. Wells Fargo Securities: Letter from Gerald K. Mayfield, Senior Counsel, dated September 20, 2013

Notice 2013-14 - Request for Comment
Publication date: | Comment due:
Information for:

Bank Dealers, Dealers, Municipal Advisors

Rule Number:

Rule G-14


1.  Bond Dealers of America: Letter from Michael Nicholas, Chief Executive Officer, dated November 1, 2013

2.  Corporate Treasury Investment Consulting LLC: Letter from Mark O. Conner, Principal, dated August 16, 2013

3.  Financial Information Forum: Letter from Manisha Kimmel, Executive Director, dated November 1, 2013

4.  Interactive Data Corporation: Letter from Mark Hepsworth, President, Interactive Data Pricing and Reference Data, dated November 1, 2013

5.  Leonard, Jack: Letter dated August 1, 2013

6.  Long, Cate: E-mail dated November 1, 2013

7.  Sayer, Steven: E-mail dated November 3, 2013

8.  Securities Industry and Financial Markets Association: Letter from Leslie M. Norwood, Managing Director and Associate General Counsel, dated November 1, 2013

9.  Wells Fargo Advisors, LLC: Letter from Robert J.McCarthy, Director of Regulatory Policy, dated November 1, 2013

Notice 2013-10 - Request for Comment
Publication date: | Comment due:
Information for:

Bank Dealers, Dealers

Rule Number:

1.  Bond Dealers of America: Letter from Michael Nicholas, Chief Executive Officer, dated June 12, 2013

2.  Securities Industry and Financial Markets Association: Letter from David L. Cohen, Managing Director, Associate General Counsel, dated June 12, 2013

3.  Wells Fargo Advisors, LLC: Letter from Robert J. McCarthy, Director of Regulatory Policy, dated June 12, 2013

 

Notice 2013-07 - Request for Comment
Publication date: | Comment due:
Information for:

Bank Dealers, Dealers

Rule Number:

Rule G-8, Rule G-19

1.  Bond Dealers of America: Letter from Michael Nicholas, Chief Executive Officer, dated May 6, 2013

2.  College Savings Foundation: Letter from Roger Michaud, Chairman, dated May 6, 2013

3.  College Savings Plans Network: Letter from Michael L. Fitzgerald, Treasurer of Iowa and Chairman, dated May 6, 2013

4.  Financial Services Institute: Letter from David T. Bellaire, Executive Vice President and General Counsel, dated May 6, 2013

5.  Investment Company Institute: Letter from Tamara K. Salmon, Senior Associate Counsel, dated May 5, 2013

6.  Retail Investor: Email from Retail Investor dated August 25, 2013

7.  Securities Industry and Financial Markets Association: Letter from David L. Cohen, Managing Director, Associate General Counsel, dated May 6, 2013

8.  Wells Fargo Advisors, LLC: Letter from Robert J. McCarthy, Director of Regulatory Policy, dated May 6, 2013

Notice 2013-06 - Request for Comment
Publication date: | Comment due:
Information for:

Bank Dealers, Dealers, Municipal Advisors

Rule Number:


1.  Bond Dealers of America: Letter from Michael Nicholas, Chief Executive Officer, dated March 28, 2013

2.  Boyle, Nick: Letter

3.  City of Milwaukee: E-mail from Richard Li dated March 7, 2013

4.  Government Finance Officers Association: Letter from Dustin McDonald, Director, Federal Liaison Center, dated April 30, 2013

5.  National Association of Bond Lawyers: Letter from Scott R. Lilienthal, President, dated March 29, 2013

Notice 2013-04 - Request for Comment
Publication date: | Comment due:
Information for:

Bank Dealers, Dealers

Rule Number:

Rule G-17


1.  Bond Dealers of America: Letter from Michael Nicholas, Chief Executive Officer, dated March 12, 2013

2.  Charles Schwab & Co., Inc.: Letter from Michael P. Moran, Vice President, Compliance, dated March 12, 2013

3.  Lumesis, Inc.: Letter from Gregg L. Bienstock, Co-Founder and Chief Executive Officer, dated March 11, 2013

4.  Lumesis, Inc.: Letter from Gregg L. Bienstock, Co-Founder and Chief Executive Officer, dated July 17, 2013

5.  R.W. Smith & Associates, Inc.: E-mail from Paige Pierce dated March 20, 2013

6.  Securities Industry and Financial Markets Association: Letter from David L. Cohen, Managing Director and Associate General Counsel, dated March 12, 2013

7.  TMC Bonds, L.L.C.: Letter from Thomas S. Vales, Chief Executive Officer, dated March 11, 2013

8.  Wells Fargo Advisors, LLC: Letter from Robert J. McCarthy, Director of Regulatory Policy, dated March 12, 2013

Notice 2013-02 - Request for Comment
Publication date: | Comment due:
Information for:

Bank Dealers, Dealers

Rule Number:

1.  Barclays Capital Inc.: Letter from Scott Coya, Director, Municipal Compliance, dated March 15, 2013

2.  Bond Dealers of America: Letter from Michael Nicholas, Chief Executive Officer, dated March 15, 2013

3.  Charles Schwab & Co. Inc.: Letter from Michael P. Moran, Vice President, Fixed Income Compliance, dated March 15, 2013

4.  Eastern Bank: E-mail from James N. Fox, SVP and Managing Director, dated March 15, 2013

5.  Financial Information Forum: Letter from Arsalan Shahid, Program Director, dated March 15, 2013

6.  Financial Services Institute: Letter from David T. Bellaire, Executive Vice President and General Counsel, dated March 15, 2013

7.  Frost Bank: Letter from Robert N. Jacobs, Assistant Vice President/Compliance Officer, dated March 11, 2013

8.  Investment Company Institute: Letter from Dorothy Donohue, Deputy General Counsel-Securities Regulation, dated March 15, 2013

9.  J.W. Korth & Company LP: E-mail from James Korth dated March 14, 2013

10.  R.W. Smith & Associates, Inc.: E-mail from Paige Pierce, dated March 20, 2013

11.  Securities Industry and Financial Markets Association: Letter from Leslie M. Norwood, Managing Director and Associate General Counsel, dated March 15, 2013

12.  Seidel & Shaw, LLC: Letter from Thomas W. Shaw, President, dated March 15, 2013

13.  Standish: E-mail from Daniel Rabasco dated March 15, 2013

14.  TMC Bonds, L.L.C.: Letter from Thomas S. Vales, Chief Executive Officer, dated March 15, 2013

15.  Tradition Asiel Securities, Inc.: Letter from Eric M. Earnhardt, Chief Compliance Officer, dated March 19, 2013