Select regulatory documents by category:
Bank Dealers, Dealers, Municipal Advisors
1. Bernardi Securities: Letter from Eric Bederman, Chief Operating and Compliance Officer, dated December 26, 2014
2. Bond Dealers of America: Letter from Michael Nicholas, Chief Executive Officer, dated January 20, 2015
3. Coastal Securities: Letter from Chris Melton, Executive Vice President, dated January 16, 2015
4. Consumer Federation of America: Letter from Micah Hauptman, Financial Services Counsel, dated January 20, 2015
5. DelphX LLC: Letter from Larry E. Fondren, President and CEO, dated January 7, 2015
6. Diamant Investment Corporation: Letter from Herbert Diamant, President, dated January 9, 2015
7. Fidelity Investments: Letter from Norman L. Ashkenas, Chief Compliance Officer, Fidelity Brokerage Services, LLC, and Richard J. O'Brien, Chief Compliance Officer, National Financial Services, LLC, dated January 20, 2015
8. Financial Information Forum: Letter from Darren Wasney, Program Manager, dated January 20, 2015
9. Financial Services Institute: Letter from David T. Bellaire, Executive Vice President and General Counsel, dated January 20, 2015
10. Financial Services Roundtable: Letter from Rich Foster, Vice President and Senior Counsel for Regulatory and Legal Affairs, dated January 20, 2015
11. Gerald Heilpern: E-mail dated December 9, 2014
12. Gerald Heilpern: E-mail dated December 18, 2014
13. Gerald Heilpern: E-mail dated January 8, 2015
14. Hilliard Lyons: Letter from Alexander I. Rorke, Senior Managing Director, Municipal Securities Group, dated January 20, 2015
15. Hutchinson Shockey Erley & Co.: Letter from Thomas E. Dannenberg, President and CEO, dated January 20, 2015
16. Interactive Data: Letter from Andrew Hausman, President, Pricing and Reference Data, dated January 20, 2015
17. John Smith: E-mail dated December 10, 2014
18. Jorge Rosso: E-mail dated November 24, 2014
19. Karin Tex: Letter dated January 12, 2015
20. McLiney And Company: Email from George J. McLiney, Jr. dated December 22, 2014
21. Morgan Stanley Smith Barney LLC: Letter from Vincent Lumia, Managing Director, dated January 20, 2015
22. Nathan Hale Capital, LLC: Letter from Peter G. Brandel, Senior Vice President, Municipal Bond Trading, and Kenneth T. Kerr, Senior Vice President, Municipal Bond Trading, dated January 20, 2015
23. Office of the Investor Advocate, U.S. Securities and Exchange Commission: Letter from Rick A. Fleming, Investor Advocate, dated January 20, 2015
24. Private Citizen: E-mail dated November 23, 2014
25. R. Seelaus & Co., Inc.: Letter from Richard Seelaus dated January 8, 2015
26. RW Smith & Associates, LLC: E-mail from Paige Pierce dated January 21, 2015
27. Securities Industry and Financial Markets Association: Letter from Sean Davy, Managing Director, Capital Markets Division, and David L. Cohen, Managing Director and Associate General Counsel, Municipal Securities Division, dated January 20, 2015
28. Standard & Poor's Securities Evaluations, Inc.: Letter from Gregory Carlin, Vice President, dated January 20, 2015
29. Thomson Reuters: Letter from Kyle C. Wootten, Deputy Director - Compliance and Regulatory, dated January 16, 2015
30. Wells Fargo Advisors, LLC: Letter from Robert J. McCarthy, Director of Regulatory Policy, dated January 20, 2015
Bank Dealers, Dealers, Municipal Advisors
1. Anonymous: Letter
2. Bond Dealers of America: Letter from Michael Nicholas, Chief Executive Officer, dated December 8, 2014
3. Chris Taylor: E-mail dated October 23, 2014
4. FCS Group: E-mail from Taree Bollinger dated October 24, 2014
5. Investment Company Institute: Letter from Tamara K. Salmon, Senior Associate Counsel, dated December 5, 2014
6. National Association of Municipal Advisors: Letter from Terri Heaton, President, dated December 8, 2014
7. PFM Group: Letter from Joseph J. Connolly, Counsel, dated November 7, 2014
8. Securities Industry and Financial Markets Association: Letter from Leslie M. Norwood, Managing Director and Associate General Counsel, dated December 8, 2014
Bank Dealers, Dealers, Municipal Advisors
1. Bond Dealers of America: Letter from Michael Nicholas, Chief Executive Officer, dated October 23, 2014
2. Financial Services Institute: Letter from David T. Bellaire, Executive Vice President and General Counsel, dated October 23, 2014
3. Government Finance Officers Association: Letter from Dustin McDonald, Director, Federal Liaison Center, dated October 23, 2014
4. Kevin M. Bronner: Letter dated September 27, 2014
5. Office of the Investor Advocate, United States Securities and Exchange Commission: Letter from Rick A. Fleming, Investor Advocate, dated October 31, 2014
6. PRISM Municipal Advisors: E-mail from Bradford Sprague dated September 8, 2014
7. Public Financial Management, Inc.: Letter from John H. Bonow, Chief Executive Officer, dated October 31, 2014
8. Securities Industry and Financial Markets Association: Letter from David L. Cohen, Managing Director and Associate General Counsel, dated October 23, 2014
Bank Dealers, Dealers, Municipal Advisors
1. American Council of Engineering Companies: Letter from David A. Raymond, President and CEO, dated October 1, 2014
2. Anonymous: E-mail dated October 1, 2014
3. Bond Dealers of America: Letter from Michael Nicholas, Chief Executive Officer, dated October 1, 2014
4. Bond Dealers of America: Letter from Michael Nicholas, Chief Executive Officer, dated October 8, 2014
5. Caplin & Drysdale: Letter from Trevor Potter and Matthew T. Sanderson dated September 30, 2014
6. Castle Advisory Company LLC: E-mail from Stephen Schulz dated August 18, 2014.
7. Center for Competitive Politics: Letter from Allen Dickerson, Legal Director, dated October 1, 2014
8. Dave A. Sanchez: Letter dated November 5, 2014
9. Hardy Callcott: E-mail dated September 9, 2014
10. National Association of Independent Public Finance Advisors: Letter from Jeanine Rodgers Caruso, President, dated October 1, 2014
11. Public Citizen, et. al.: Letter dated October 1, 2014 from Bartlett Naylor, Financial Policy Advocate, and Craig Holman, Government Affairs Lobbyist, Public Citizen; Ron Fein, Legal Director, Free Speech for People; John Harrington, President, Harrington Investments, Inc.; New Progressive Alliance; American Federation of State, County and Municipal Employees; ReFund America Project at the Roosevelt Institute; U.S. PIRG; Consumer Federation of America; and Americans for Financial Reform
12. Securities Industry and Financial Markets Association: Letter from Leslie M. Norwood, Managing Director and Associate General Counsel, dated September 30, 2014
13. WM Financial Strategies: Letter from Joy A. Howard, Principal, dated October 1, 2014
Bank Dealers, Dealers
1. Bond Dealers of America: Letter from Michael Nicholas, Chief Executive Officer, dated September 26, 2014
2 Financial Information Forum: Letter from Darren Wasney, Program Manager, dated September 19, 2014
3. Herbert Murez: E-mail dated August 13, 2014
4. Income Securities Advisor Inc.: E-mail from Richard Lehmann dated August 26, 2014
5. Loren Trigo: E-mail dated August 13, 2014
6. RW Smith & Associates, LLC: E-mail from Paige W. Pierce, President and Chief Executive Officer, dated September 26, 2014
7. Securities Industry and Financial Markets Association: Letter from Leslie M. Norwood, Managing Director and Associate General Counsel, dated September 25, 2014
Bank Dealers, Dealers, Municipal Advisors
1. Arrow Partners: Letter from Steven Rubenstein dated May 16, 2014
2. Association of Registration Management: Letter from Michele Van Tassel, President, dated May 16, 2014
3. Bond Dealers of America: Letter from Michael Nicholas, Chief Executive Officer, dated May 16, 2014
4. Cedar Partners Ltd: Letter from Christy Ping, Director/Chief Compliance Officer, dated May 16, 2014
5. Central States Capital Markets: E-mail from Mark Detter dated April 17, 2014
6. CFA Institute: Letter from Inigo Bengoechea, Director, and Dan Larocco, Manager, dated April 25, 2014
7. Compass Securities Corporation: Letter from John R. Ahern, President
8. Dixworks LLC: E-mail from Dennis Dix, Jr. dated April 11, 2014
9. Fitzgibbon Toigo Associates, LLC: E-mail from Brian X. Fitzgibbon dated May 16, 2014
10. Fortress Group, Inc.: Letter from Bruce A. Williamson, Managing Director and Chief Compliance Officer, dated May 16, 2014
11. Frank Taylor: E-mail dated March 19, 2014
12. George K. Baum & Company: Letter from Guy E. Yandel, EVP Public Finance, Dana L. Bjornson, EVP and Chief Compliance Officer, and Andrew F. Sears, SVP and General Counsel, dated May 16, 2014
13. Government Credit Corporation: E-mail from Joseph Mooney dated March 18, 2014
14. Hamersley Partners, LLC: Letter from Andrew Phillips, Principal and CCO, dated May 16, 2014
15. IMMS LLC: E-mail from John Daly dated May 16, 2014
16. Investment Company Institute: Letter from Tamara K. Salmon, Senior Associate Counsel, dated May 8, 2014
17. Jorge Rosso: E-mail dated April 3, 2014
18. Monahan & Roth, LLC: Letter from Lisa Roth, President, dated May 16, 2014
19. MVision Private Equity Advisers USA LLC: Letter from Victoria Sherliker, General Counsel, dated May 16, 2014
20. National Association of Independent Public Finance Advisors: Letter from Jeanine Rodgers Caruso, President, dated May 16, 2014
21. New Albany Capital Partners, LLC: Letter from Rick Wayman dated May 14, 2014
22. Oyster River Capital LP: Letter from Richard A. Murphy dated May 16, 2014
23. Perkins Fund Marketing LLC: Letter from Gilman C. Perkins, Principal and Managing Member, dated May 16, 2014
24. Raftelis Financial Consultants, Inc.: Letter from Alexis F. Warmath, Vice President, and Christopher P.N. Woodcock, President, Woodcock & Associates, Inc., dated May 16, 2014
25. Securities Industry and Financial Markets Association: Letter from Leslie M. Norwood, Managing Director and Associate General Counsel, dated May 16, 2014
26. Sonja Sullivan: E-mail dated May 16, 2014
27. Stacy Havener: E-mail dated May 16, 2014
28. Stonehaven: Letter from Steven Jafarzadeh, Managing Director and Partner, dated May 16, 2014
29. Tessera Capital Partners: Letter from Donna DiMaria, CEO/CCO, dated May 16, 2014
30. Third Party Marketers Association: Letter from Donna DiMaria, Chairman of the Board of Directors, dated May 16, 2014
31. Tibor Partners Inc.: E-mail from William Johnston dated March 18, 2014
32. Timothy D. Wasson: Letter
33. Yuba Group: Letter from Linda Fan, Managing Partner, dated April 28, 2014
34. Zions First National Bank: Letter from W. David Hemingway, Executive Vice President, dated May 16, 2014
35. Zions First National Bank: Letter from James G. Livingston, Senior Vice President, dated May 16, 2014
Bank Dealers, Dealers
1. Bond Dealers of America: Letter from Michael Nicholas, Chief Executive Officer, dated March 21, 2014
2. City of New York, Office of the Comptroller: Letter from Scott M. Stringer, New York City Comptroller, dated March 21, 2014
3. Coastal Securities: Letter from Chris Melton, Executive Vice President, dated March 21, 2014
4. Interactive Data: Letter from Andrew Hausman, President, dated March 21, 2014
5. National Association of Independent Public Finance Advisors: Letter from Jeanine Rodgers Caruso, President, dated March 21, 2014
6. NYSE Euronext: Letter from Martha Redding, Chief Counsel, dated March 31, 2014
7. Regional Brokers, Inc.: Letter from H. Deane Armstrong, CCO
8. Securities Industry and Financial Markets Association: Letter from David L. Cohen, Managing Director, Associate General Counsel, dated March 13, 2014
9. Wells Fargo Advisors, LLC: Letter from Robert J. McCarthy, Director of Regulatory Policy, dated April 2, 2014
10. Wulff, Hansen & Co.: Letter from Chris Charles, President, dated March 21, 2014
