Select regulatory documents by category:
Municipal Advisors
All Comments to Notice 2018-14
1. Bond Dealers of America: Letter from Mike Nicholas, Chief Executive Officer, dated July 27, 2018
2. National Association of Municipal Advisors: Letter from Susan Gaffney, Executive Director, dated July 27, 2018
3. Securities Industry and Financial Markets Association: Letter from Leslie M. Norwood, Managing Director and Associate General Counsel, dated July 26, 2018
Bank Dealers, Dealers, Municipal Advisors
Issuers, Municipal Advisors
Bank Dealers, Dealers, Municipal Advisors
Bank Dealers, Dealers, Municipal Advisors
All Comments to Notice 2018-10
1. Bond Dealers of America: Letter from Mike Nicholas, Chief Executive Officer, dated August 6, 2018
2. Government Finance Officers Association: Letter from Emily S. Brock, Director, Federal Liaison Center, dated August 6, 2018
3. National Association of Municipal Advisors: Letter from Susan Gaffney, Executive Director, dated August 6, 2018
4. Securities Industry and Financial Markets Association: Letter from Leslie M. Norwood, Managing Director and Associate General Counsel, dated August 6, 2018
5. State of Florida, Division of Bond Finance: Letter from J. Ben Watkins III, Director, dated August 8, 2018
All Comments to Notice 2018-09
1. Bond Dealers of America: Letter from Mike Nicholas, Chief Executive Officer, dated July 16, 2018
2. Financial Services Institute: Letter from Robin Traxler, Vice President, Regulatory Affairs and Associate General Counsel, dated July 16, 2018
3. Securities Industry and Financial Markets Association: Letter from Leslie M. Norwood, Managing Director and Associate General Counsel, dated July 16, 2018
Bank Dealers, Dealers, Municipal Advisors
Bank Dealers, Dealers
Bank Dealers, Dealers
Bank Dealers, Dealers, Municipal Advisors
Municipal Advisors
All Comments to Notice 2018-03
1. Bond Dealers of America: Letter from Michael Nicholas, Chief Executive Officer, dated April 20, 2018
2. cfX Incorporated: Letter from Benjamin Madorsky, Chief Compliance Officer, dated April 16, 2018
3. Kensington Capital Advisors: Email from Kim Wyatt dated February 22, 2018
4. National Association of Health and Educational Facilities Finance Authorities: Letter from Charles A. Samuels, Counsel for NAHEFFA, dated April 16, 2018
5. National Association of Municipal Advisors: Letter from Susan Gaffney, Executive Director, dated April 16, 2018
6. PFM Financial Advisors LLC: Letter from Catherine Humphrey-Bennett, Municipal Advisory Compliance Officer, dated April 16, 2018
7. Piper Jaffray & Co.: Letter from Frank Fairman, Managing Director, Head of Public Finance Services, dated April 16, 2018
8. Securities Industry and Financial Markets Association: Letter from Leslie M. Norwood, Managing Director and Associate General Counsel, dated April 16, 2018
Bank Dealers, Dealers, Municipal Advisors
Bank Dealers, Dealers