Select regulatory documents by category:
Bank Dealers, Dealers
Bank Dealers, Dealers
1. Bond Dealers of America: Letter from Michael Nicholas, Chief Executive Officer, dated March 31, 2016
2. Breena LLC: E-mail from G. Lettieri dated February 23, 2016; and e-mail from G. Lettieri dated March 10, 2016
3. Brian Shaw: Letter dated March 28, 2016
4. Herbert Murez: E-mail dated March 28, 2016
5. Markit: Letter from Marcus Schuler, Head of Regulatory Affairs, dated March 31, 2016
6. Office of the Investor Advocate, U.S. Securities and Exchange Commission: Letter from Rick A. Fleming, Investor Advocate, dated March 31, 2016
7. Securities Industry and Financial Markets Association: Letter from Leslie M. Norwood, Managing Director and Associate General Counsel, Municipal Securities Division, and Sean Davy, Managing Director, Capital Markets Division, dated March 31, 2016
8. State of Florida, Division of Bond Finance: Letter from J. Ben Watkins III, Director, dated March 31, 2016
9. Thomson Reuters: Letter from Manisha Kimmel, Chief Regulatory Officer, Wealth Management, dated March 31, 2016
Bank Dealers, Dealers, Municipal Advisors
Bank Dealers, Dealers
Bank Dealers, Dealers, Municipal Advisors
Bank Dealers, Dealers, Municipal Advisors
Bank Dealers, Dealers
1. Bond Dealers of America: Letter from Mike Nicholas, Chief Executive Officer, dated March 4, 2016
2. Breena LLC: E-mail from Geraldine Lettieri dated January 6, 2016
3. National Securities Clearing Corporation: Letter from Murray C. Pozmanter, Managing Director, dated January 12, 2016
4. Securities Industry and Financial Markets Association: Letter from Leslie M. Norwood, Managing Director and Associate General Counsel, dated March 6, 2016
Dealers, Municipal Advisors
Bank Dealers, Dealers, Municipal Advisors