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Notice 2015-22 - Request for Comment
Publication date: | Comment due:
Information for:

Bank Dealers, Dealers, Municipal Advisors

Rule Number:

Rule G-12, Rule G-15

1.  Bernardi Securities, Inc.: Letter from Eric Bederman, SVP, Chief Operating & Compliance Officer, dated November 17, 2015

2.  Bond Dealers of America: Letter from Michael Nicholas, Chief Executive Officer, dated December 10, 2015

3.  Brandis Tallman LLC: Letter from Richard Brandis

4.  Castle Advisory Company: E-mail from Garth Schulz dated November 10, 2015

5.  Coastal Securities: E-mail from Chris Melton, Executive Vice President, dated December 10, 2015

6.  Financial Services Institute: Letter from David T. Bellaire, Executive Vice President & General Counsel, dated December 10, 2015

7.  Geraldine Lettieri: E-mail dated November 10, 2015

8.  Investment Company Institute: Letter from Martin A. Burns, Chief Industry Operations Officer, dated December 1, 2015

9.  Securities Industry and Financial Markets Association: Letter from Leslie M. Norwood, Managing Director and Associate General Counsel, dated December 10, 2015

 

Notice 2015-18 - Request for Comment
Publication date: | Comment due:
Information for:

Bank Dealers, Dealers, Municipal Advisors

Rule Number:

Rule A-3

1.  Bond Dealers of America: Letter from Michael Nicholas, Chief Executive Officer, dated November 19, 2015

2.  National Association of Municipal Advisors: Letter from Terri Heaton, President, dated November 19, 2015

3.  Office of the Investor Advocate, U.S. Securities and Exchange Commission: Letter from Rick A. Fleming, Investor Advocate, dated October 29, 2015

4.  Securities Industry Financial Markets Association: Letter from Michael Decker, Managing Director, dated November 19, 2015

5.  Stephen Heaney: E-mail dated November 10, 2015

Notice 2015-16 - Request for Comment
Publication date: | Comment due:
Information for:

Bank Dealers, Dealers

Rule Number:

Rule G-15

1.  Aaron Botbyl: E-mail dated October 9, 2015

2.  Bernardi Securities, Inc.: Letter from Eric Bederman, SVP, Chief Operating & Compliance Officer, dated December 4, 2015

3.  Bond Dealers of America: Letter from Michael Nicholas, Chief Executive Officer, dated December 11, 2015

4.  CFA Institute: Letter from Kurt N. Schacht, Managing Director, Standards and Financial Market Integrity, and Linda L. Rittenhouse, Director, Capital Markets Policy, dated December 11, 2015

5.  Charles Schwab & Co. Inc.: Letter from Jason Clague, Senior Vice President, Trading & Middle Office Services, dated December 11, 2015

6.  Chris Melton: E-mail dated October 30, 2015

7.  Christopher [last name withheld]: E-mail dated September 25, 2015

8.  Consumer Federation of America: Letter from Micah Hauptman, Financial Services Counsel, dated December 11, 2015

9.  Diamant Investment Corporation: Letter from Herbert Diamant, President, dated November 30, 2015

10.  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 December 11, 2015

11.  Financial Information Forum: Letter from Darren Wasney, Program Manager, dated December 11, 2015

12.  Financial Services Institute: Letter from David T. Bellaire, Executive Vice President & General Counsel, dated December 11, 2015

13.  Gerald Heilpern: Letter 

14.  Jonathan Bricker: E-mail dated October 20, 2015

15.  LPL Financial LLC: Letter from David P. Bergers, General Counsel, dated December 10, 2015

16.  Morgan Stanley Smith Barney LLC: Letter from Elizabeth Dennis, Managing Director, dated December 11, 2015

17.  Office of the Investor Advocate, U.S. Securities and Exchange Commission: Letter from Rick A. Fleming, Investor Advocate, dated December 11, 2015

18.  Patrick Luby: Letter dated December 11, 2015

19.  Public Investors Arbitration Bar Association: Letter from Hugh D. Berkson, President, dated December 8, 2015

20.  RBC Capital Markets, LLC: Letter from David L. Cohen, Senior Counsel and Director, dated December 15, 2015

21.  RW Smith & Associates, LLC: Letter from Paige W. Pierce, President & CEO, dated December 11, 2015

22.  Securities Industry and Financial Markets Association: Letter from Sean Davy, Managing Director, Capital Markets Division, and Leslie M. Norwood, Managing Director & Associate General Counsel, Municipal Securities Division, dated December 11, 2015

23.  Thomson Reuters: Letter from Manisha Kimmel, Chief Regulatory Officer, Wealth Management, dated December 11, 2015

24.  TMC Bonds, LLC: Letter from Thomas S. Vales, Chief Executive Officer, dated December 11, 2015

25.  Wells Fargo Advisors, LLC: Letter from Robert J. McCarthy, Director of Regulatory Policy, dated December 11, 2015

Notice 2015-10 - Request for Comment
Publication date: | Comment due:
Information for:

Bank Dealers, Dealers, Municipal Advisors

Rule Number:

1.  American Governmental Financial Services: E-mail from Robert Doty dated August 24, 2015

2,  Andrew Glassberg: E-mail dated August 17, 2015

3.  Association for Budgeting and Financial Management: Letter from Robert Kravchuk, Chair, et al., dated September 13, 2015

4.  Bond Dealers of America: Letter from Michael Nicholas, Chief Executive Officer, dated August 24, 2015

5.  Brandeis University: Letter from Daniel Bergstresser, Associate Professor of Finance, dated September 14, 2015

6.  Coastal Securities: E-mail from Chris Melton, Executive Vice President, dated August 5, 2015

7.  George Mason University: Letter from Jonathan L. Gifford, Professor and Director of Center for Transportation P3 Policy, dated September 1, 2015

8.  John Mousseau: E-mail dated July 29, 2015

9.  Larry Harris: Letter dated September 6, 2015

10.  New York University: Letter from Norman White, Clinical Professor, et al., dated September 16, 2015

11.  Pennsylvania State University: Letter from Patrick J. Cusatis, Associate Professor of Finance, dated September 10, 2015

12.  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 September 11, 2015

13.  University of Louisville: Letter from James R. Ramsey, President, dated September 4, 2015

Notice 2015-08 - Request for Comment
Publication date: | Comment due:
Information for:

Bank Dealers, Dealers, Municipal Advisors

Rule Number:

Rule A-3

1.  Americans for Financial Reform; American Federation of State, County and Municipal Employees; and Consumer Federation of America: Letter dated July 13, 2015

2.  Government Finance Officers Association: Letter from Dustin McDonald, Director, Federal Liaison Center, dated July 20, 2015

3.  Investment Company Institute: Letter from Dorothy Donohue, Deputy General Counsel--Securities Regulation, dated July 13, 2015

4.  Jay M. Goldstone: Letter dated July 10, 2015

5.  Jerry Gold: Letter dated July 17, 2015

6.  Lamont Financial Services Corporation: Letter from Bob Lamb, President, dated July 7, 2015

7.  Loews Corporation: Letter from Mark G. Muller dated July 1, 2015

8.  National Association of Municipal Advisors: Letter from Terri Heaton, President, dated July 13, 2015

9.  National Federation of Municipal Analysts: Letter from Lisa S. Good, Executive Director, dated July 13, 2015

10.  Office of the Investor Advocate, U.S. Securities and Exchange Commission: Letter from Rick A. Fleming, Investor Advocate, dated July 13, 2015

11.  Robert E. Rutkowski: E-mail dated July 13, 2015

12.  Robert Zubak: Letter dated July 6, 2015

13.  Samson Capital Advisors: Letter from Benjamin S. Thompson, Managing Principal and Chief Executive Officer, dated July 7, 2015

14.  Securities Industry and Financial Markets Association: Letter from Michael Decker, Managing Director, dated July 13, 2015

15.  Wells Capital Management Incorporated: Letter from Gilbert L. Southwell III, Vice President, dated July 8, 2015