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Notice 2017-19 - Request for Comment
Publication date: | Comment due:
Information for:

Bank Dealers, Dealers, Municipal Advisors

Rule Number:

Rule G-11, Rule G-32

1. Bond Dealers of America: Letter from Mike Nicholas, Chief Executive Officer, dated November 16, 2017

2. City of San Diego: Letter

3. Global Legal Entity Identifier Foundation: Email from Stephan Wolf dated November 6, 2017

4. Government Finance Officers Association: Letter from Emily Brock, Director, Federal Liaison Center, dated November 27, 2017

5. Michael Paganini: Email dated September 15, 2017

6. National Association of Bond Lawyers: Letter from Alexandra M. MacLennan, President, dated November 17, 2017

7. National Association of Municipal Advisors: Letter from Susan Gaffney, Executive Director, dated November 13, 2017

8. National Federation of Municipal Analysts: Letter from Julie Egan, Chair, and Lisa Washburn, Industry Practices and Procedures Chair, dated November 9, 2017

9. Robert W. Doty: Letter dated November 2, 2017

10. Securities Industry and Financial Markets Association: Letter from Leslie M. Norwood, Managing Director and Associate General Counsel, dated November 15, 2017

11. TMC Bonds: Letter from John S. Craft, Managing Director, dated November 13, 2017

12. Wells Capital Management Incorporated: Letter from Gilbert L. Southwell III, Vice President, dated November 1, 2017

Notice 2016-11 - Request for Comment
Publication date: | Comment due:
Information for:

Bank Dealers, Dealers, Municipal Advisors

Rule Number:

1.  American Bankers Association: Letter from Cristeena G. Naser, Vice President, Center for Securities, Trust and Investments, dated May 27, 2016

2.  American Governmental Financial Services Company: E-mail from Robert Doty dated May 31, 2016

3.  Bond Dealers of America: Letter from Mike Nicholas, Chief Executive Officer, dated May 27, 2016

4.  Breena LLC: E-mail from G. Letti dated March 28, 2016; and e-mail from G. Letti dated May 1, 2016

5.  Caine Mitter & Associates Incorporated: E-mail from Thomas Caine dated May 27, 2016

6.  Cavanal Hill Investment Management: E-mail from Douglas Benton dated May 2, 2016

7.  Charles Schwab Investment Management: Letter from Marie Chandoha, President and Chief Executive Officer, dated May 27, 2016

8.  Dixworks LLC: E-mail from Dennis Dix, Jr. dated March 29, 2016

9.  George K. Baum & Company: Letter from Guy E. Yandel, Executive Vice President; Dana L. Bjornson, Executive Vice President and Chief Compliance Officer; and Andrew F. Sears, Executive Vice President and General Counsel; dated May 26, 2016

10.  Government Finance Officers Association: Letter from Emily Brock, Director, Federal Liaison Center, dated May 27, 2016

11.  Investment Company Institute: Letter from Dorothy Donohue, Deputy General Counsel - Securities Regulation, dated May 27, 2016

12.  Kane, McKenna Capital, Inc.: Letter from Philip R. McKenna, President, dated April 7, 2016

13.  Lawrence Financial Consulting LLC: E-mail from Tom Lawrence dated March 30, 2016; and letter from Tom Lawrence, President, dated May 2, 2016

14.  Lewis Young Robertson & Burningham: Letter from Laura D. Lewis, Principal, dated May 26, 2016

15.  National Association of Bond Lawyers: Letter from Kenneth R. Artin, President, dated May 27, 2016

16.  National Association of Health and Educational Facilities Finance Authorities: Letter from Donna Murr, President; Martin Walke, Advocacy Committee Chairman; and Charles Samuels, General Counsel; dated May 26, 2016

17.  National Association of Municipal Advisors: Letter from Terri Heaton, President, dated May 26, 2016

18.  National Association of State Treasurers: Letter

19.  National Federation of Municipal Analysts: Letter from Lisa Washburn, Chair, dated May 23, 2016

20.  Public Financial Management, Inc,: Letter from Leo Karwejna, Chief Compliance Officer, and Cheryl Maddox, General Counsel, dated May 26, 2016

21.  Public Resources Advisory Group: Letter from Marianne F. Edmonds, Senior Managing Director, dated May 27, 2016

22.  Securities Industry and Financial Markets Association: Letter from Leslie M. Norwood, Managing Director and Associate General Counsel, dated May 26, 2016

23.  Securities Industry and Financial Markets Association, Asset Management Group: Letter from Timothy W. Cameron, Asset Management Group - Head, and Lindsey W. Keljo, Vice President and Assistant General Counsel, Asset Management Group, dated May 27, 2016

24.  State of Florida, Division of Bond Finance: Letter from J. Ben Watkins III, Director, dated May 27, 2016

25.  Sycamore Advisors, LLC: E-mail from Courtney Tobin dated June 8, 2016

26.  Thomson Reuters: Letter from Michael C. Demas, Head, Municipal Evaluations, dated May 27, 2016

27.  Wake County, North Carolina: Letter from Nicole Kreiser, Debt Manager, dated May 26, 2016

28.  WM Financial Strategies: Letter from Joy A. Howard, Principal, dated May 27, 2016

29.  Wulff, Hansen & Co.: Letter from Chris Charles, President

30.  Zions Bank: Letter from James G. Livingston, Senior Vice President, dated May 25, 2016