Select regulatory documents by category:
Bank Dealers, Dealers, General Public, Investors
- Securities Industry and Financial Markets Association: Letter from Leslie M. Norwood, Managing Director and Associate General Counsel, dated December 15, 2023
Bank Dealers, Dealers, Municipal Advisors
Rule G-3, Rule G-7, Rule G-8, Rule G-9, Rule G-10, Rule G-11, Rule G-12, Rule G-13, Rule G-14, Rule G-15, Rule G-17, Rule G-18, Rule G-19, Rule G-20, Rule G-21, Rule G-23, Rule G-27, Rule G-32, Rule G-34, Rule G-37, Rule G-40, Rule G-42, Rule G-44, Rule G-45, Rule G-47, Rule G-48, Rule A-11, Rule A-12, Rule A-13, Rule D-10
Bank Dealers, Dealers, Municipal Advisors, Municipal Fund Securities
Bank Dealers
All Comments to Notice 2022-07
- American Securities Association: Letter from Kelli McMorrow, Head of Government Affairs, dated September 30, 2022
- Amuni Financial, Inc.: Letter from Mike Petagna, President, dated August 23, 2022
- Bailey, Bill: Email dated August 4. 2022
- Belle Haven Investments, L.P.: Letter from Matt Dalton, Chief Executive Officer, dated October 3, 2022
- Bernardi Securities, Inc.: Letter from Ronald P. Bernardi, President and CEO, dated September 30, 2022
- Bond Dealers of America: Letter from Michael Decker, Senior Vice President for Public Policy, dated October 3, 2022
- Bryant Bank: Letter from David Long, Executive Vice President, Correspondent Banking/Capital Markets, and Vincent Webb, Managing Director, Bryant Bank Capital Markets, dated September 28, 2022
- Cantella & Co., Inc.: Email from Jay Lanstein, Chief Executive Officer and Chief Technology Officer, dated September 16, 2022
- Cantone Research, Inc.: Email from Maryann Cantone dated August 2, 2022
- Colwell, J.D.: Letter dated September 9, 2022
- DeRobbio, Raymond: Email dated August 3, 2022
- Dimensional Fund Advisors LP: Letter from Gerard O’Reilly, Co-CEO and Chief Investment Officer, and David A. Plecha, Global Head of Fixed Income, dated September 26, 2022
- Falcon Square Capital, LLC: Letter from Melissa P. Hoots, CEO/CCO, dated October 3, 2022
- Financial Information Forum: Letter from Howard Meyerson, Managing Director, dated October 3, 2022; Supplemental Letter from Howard Meyerson, Managing Director, dated April 27, 2023
- Ford & Associates, Inc.: Letter from Jonathan W. Ford, Senior Vice President, dated September 9, 2022
- Hartfield, Titus & Donnelly, LLC: Letter from Edward J. Smith, General Counsel and Chief Compliance Officer, dated September 14, 2022
- Herbert J. Sims & Co., Inc.: Letter from Melissa Messina, Executive Vice President, Associate General Counsel, R. Jeffrey Sands, Managing Principal, General Counsel, and William Sims, Managing Principal, dated October 3, 2022
- Higgins Capital Management, Inc.: Email from Deborah Higgins dated September 19, 2022
- Hilltop Securities: Letter from Lana Calton, Executive Managing Director, Head of Clearing, dated October 3, 2022
- Honey Badger Investment Securities, LLC: Letter from Joe Lee, CEO, dated September 30, 2022
- ICE Bonds Securities Corporation: Letter from Robert Laorno, General Counsel, dated September 30, 2022
- InspereX LLC: Letter from Robert D. Bullington, Vice President, Compliance Officer, dated October 3, 2022
- Institutional Securities Corporation: Letter from Scott Hayes, President and CEO, and Chris Neidlinger, CCO, dated September 30, 2022
- Investment Company Institute: Letter from Sarah A. Bessin, Associate General Counsel, dated October 3, 2022
- Investment Placement Group: Email from Darius Lashkari dated August 2, 2022
- Isaak Bond Investments: Letter from John Isaak, Sr. Vice President, dated August 16, 2022
- Isaak Bond Investments, Inc.: Letter from Donald J. Lemek, VP-Operations and CFO
- Kiley Partners, Inc.: Email from Mike Kiley, Owner, dated September 27, 2022
- Madison Paige Securities: Letter from Gary Herschitz, CEO, dated September 30, 2022
- Mayes, Christopher: Email dated September 27, 2022
- Municipal Securities Rulemaking Board: Memorandum dated September 12, 2022
- Northland Securities Inc.: Letter from Randy Nitzsche, President and CEO, dated October 3, 2022
- Oberweis Securities, Inc.: Letter from James W. Oberweis, President, dated September 28, 2022
- Robert Blum Municipals, Inc.: Letter from Robert Blum, President, dated September 16, 2022
- Roosevelt & Cross, Inc.: Letter from F. Gregory Finn, Chief Executive Officer, dated October 3, 2022
- RW Smith & Associates, LLC: Letter from Christopher Ferreri, President, dated September 13, 2022
- SAMCO Capital Markets, Inc.: Letter from Lee Maverick, Chief Compliance Officer, dated September 30, 2022
- Sanderlin Securities LLC: Letter from Matthew Kamler, President, dated September 27, 2022
- Securities Industry and Financial Markets Association and the SIFMA Asset Management Group: Letter from Kenneth E. Bentsen, Jr., President and CEO, dated October 3, 2022
- Sentinel Brokers Company, Inc.: Letter from Joseph Lawless, CEO, dated September 30, 2022
- Sheedy, Edward: Email dated August 2, 2022
- Stern Brothers and Co.: Letter dated October 3, 2022
- TRADEliance, LLC: Letter from Jesy LeBlanc and Kat Miller dated September 28, 2022
- Tuma, William: Email dated August 8, 2022
- Wells Fargo & Company: Letter from Nyron Latif, Head of Operations, Wells Fargo Wealth and Investment Management, and Todd Primavera, Head of Operations, Wells Fargo Corporate and Investment Bank, dated October 3, 2022
- Wiley Bros.-Aintree Capital, LLC: Letter from Keener Billups, Managing Director, Municipal Bond Department, dated September 20, 2022
- Wintrust Investments, LLC: Email from Thomas Kiernan dated August 2, 2022
- Zia Corporation: Email from Glenn Burnett dated September 6, 2022
Bank Dealers, Dealers, Municipal Advisors
All Comments to Notice 2021-12
1. Bond Dealers of America: Letter from Michael Decker, Senior Vice President, dated January 19, 2022
2. First River Advisory L.L.C.: Letter from Shelley J. Aronson dated January 18, 2022
3. National Association of Municipal Advisors: Letter from Susan Gaffney, Executive Director, dated January 19, 2022
4. Securities Industry and Financial Markets Association: Letter from Leslie M. Norwood, Managing Director and Associate General Counsel, and Matthew Roberts, Assistant Vice President, dated January 19, 2022
Bank Dealers, Dealers, Investors
Bank Dealers, Dealers, Municipal Advisors
All Comments to Notice 2021-08
1. American Securities Association: Letter from Christopher A. Iacovella, Chief Executive Officer, dated June 28, 2021
2. Bond Dealers of America: Letter from Michael Decker, Senior Vice President, dated June 28, 2021
3. Securities Industry and Financial Markets Association: Letter from Leslie M. Norwood, Managing Director and Associate General Counsel, dated June 28, 2021
4. Szaro, Jennifer: Email dated May 17, 2021
Bank Dealers
All Comments to Notice 2021-06
1. American Bankers Association: Letter from Justin M. Underwood, Executive Director - ABASA, Vice President, Banking Policy, dated June 2, 2021
2. American Securities Association: Letter from Christopher A. Iacovella, Chief Executive Officer, dated May 27, 2021
3. Capital Markets Group of Commerce Bank: Letter from Erik Swanson, Managing Director, and Joseph Reece, Chief Compliance Officer
4. Securities Industry and Financial Markets Association: Letter from Leslie M. Norwood, Managing Director and Associate General Counsel, dated June 2, 2021
Bank Dealers, Dealers, Municipal Advisors
All Comments to Notice 2020-19
1. 280 Securities LLC: Letter from Wm. Thomas Lockard, Managing Director, dated January 6, 2021
2, American Bankers Association: Letter from Justin M. Underwood dated January 11. 2021
3. American Securities Association: Kelli McMorrow, Head of Government Affairs, dated January 11, 2021
4. Belton, David F.: Letter
5. Bliss, Evan: Email dated January 13, 2021
6. Bond Dealers of America: Letter from Mike Nicholas, Chief Executive Officer, dated January 11, 2021
7. Ceres, Inc.: Letter from Steven M. Rothstein, Managing Director, Ceres Accelerator for Sustainable Capital Markets, dated January 11, 2021
8. Climate Advisory: Letter from Lisa L. Churchill, Founder, dated January 11, 2021
9. Geos Institute: Email from Tonya Graham dated January 11, 2021
10. Global Legal Entity Identifier Foundation: Letter from Stephan Wolf, CEO, dated January 5, 2021
11. Government Finance Officers Association: Letter from Emily Swanson Brock, Director, Financial Liaison Center, dated January 11, 2021
12. National Association of Municipal Advisors: Letter from Susan Gaffney, Executive Director, dated January 11, 2021
13. National Association of State Treasurers: Letter from Shaun Snyder, Executive Director, dated January 11, 2021
14. PFM Financial Advisors LLC: Letter from Leo Karwejna, Managing Director, Chief Compliance Officer, dated January 12, 2021
15. Securities Industry and Financial Markets Association: Letter from Leslie M. Norwood, Managing Director and Associate General Counsel, and Bernard V. Canepa, Vice President and Assistant General Counsel, dated January 11, 2021
16. Ugarte, Allyson: Letter dated January 11, 2021
17. XBRL US: Letter from Campbell Pryde, President and CEO, dated January 11, 2021
Bank Dealers, Dealers, Municipal Advisors
All Comments to Notice 2020-02
1. Acacia Financial Group, Inc.: Letter from Kim M. Whelan, Co-President, and Noreen P. White, Co-President, dated April 29, 2020
2. Action Center on Race and the Economy, AFSCME, AFL-CIO, Americans for Financial Reform Education Fund, Consumer Federation of America and Public Citizen: Letter dated April 29, 2020
3. Bond Dealers of America: Letter from Mike Nicholas, Chief Executive Officer, dated April 29, 2020
4. Government Finance Officers Association: Letter from Emily Swenson Brock, Director, Federal Liaison Center, dated April 29, 2020
5. Investment Company Institute: Letter from Dorothy Donohue, Deputy General Counsel - Securities Regulation, dated April 15, 2020
6. National Association of Municipal Advisors: Letter from Susan Gaffney, Executive Director, dated April 29, 2020
7. National Association of State Auditors, Comptrollers and Treasurers: Letter from Beth Pearce, President, dated April 30, 2020
8. National Association of State Treasurers: Letter from Shaun Snyder, Executive Director, dated April 28, 2020
9. National Federation of Municipal Analysts: Letter from Nicole Byrd, Chair, dated April 29, 2020
10. Securities Industry and Financial Markets Association: Letter from Leslie M. Norwood, Managing Director and Associate General Counsel, and Bernard V. Canepa, Vice President and Assistant General Counsel, dated April 29, 2020
11. Steve Apfelbacher, Renee Boicourt, Marianne Edmonds, Robert Lamb, Nathaniel Singer and Noreen White [former MSRB Board members]: Letter dated April 29, 2020
Bank Dealers, Dealers
Bank Dealers, Dealers, Municipal Advisors
Bank Dealers, Dealers, Municipal Advisors
All Comments to Notice 2019-13
1. Acacia Financial Group, Inc.: Letter from Kim M. Whelan, Co-President, and Noreen P. White, Co-President, dated August 19, 2019
2. Bond Dealers of America: Letter from Michael Nicholas, Chief Executive Officer, dated August 23, 2019
3. Columbia Capital Management, LLC: Letter from Jeff White, Managing Member, dated August 19, 2019
4. Crews & Associates, Inc.: Letter from Don Winton, Chief Operating Officer, dated August 23, 2019
5. Ehlers: Letter from Phil Cosson, Ehlers Board Chairman
6. First Kentucky Securities Corp.: Email from Stan Kramer dated August 13, 2019
7. Government Finance Officers Association: Letter from Emily Swenson Brock, Director, Federal Liaison Center, dated August 19, 2019
8. KPM Financial, LLC: Letter from Jay Saunders, Director
9. Kutak Rock LLP: Letter from Joshua P. Meyer dated August 16, 2019
10. Lewis Young Robertson & Burningham, Inc.: Letter from Laura D. Lewis, Principal, dated August 7, 2019
11. National Association of Municipal Advisors: Letter from Susan Gaffney, Executive Director, dated August 19, 2019
12. Phoenix Advisors, LLC: Letter from David B. Thompson, CEO, dated August 14, 2019
13. Richard Li: Email dated January 29, 2020
14. Robert W. Doty: Letter dated August 19, 2019
15.Securities Industry and Financial Markets Association: Letter from Leslie M. Norwood, Managing Director and Associate General Counsel, and Bernard V. Canepa, Vice-President and Assistant General Counsel, dated August 19, 2019
16. Speer Financial, Inc.: Letter from Daniel Forbes, President, dated August 19, 2019
17. State of Florida, Division of Bond Finance: Letter from J. Ben Watkins III, Director, dated September 3, 2019
18. Zions Public Finance, Inc. and Zions Bank Public Finance: Letter from James Livingston, Executive Vice President, dated August 14, 2019
Bank Dealers, Dealers
Bank Dealers, Dealers, General Public, Investors, Issuers, Municipal Advisors
Bank Dealers, Dealers, Municipal Advisors
All Comments to Notice 2019-01
1. Bond Dealers of America: Letter from Mike Nicholas, Chief Executive Officer, dated March 5, 2019
2. Regional Brokers, Inc.: Letter from H. Deane Armstrong, CCO, and Joseph A. Hemphill, CEO, dated March 7, 2019
3. Securities Industry and Financial Markets Association: Letter from Leslie M. Norwood, Managing Director and Associate General Counsel, dated March 6, 2019
Bank Dealers, Dealers, Municipal Advisors
All Comments to Notice 2018-29
1. Bond Dealers of America: Letter from Mike Nicholas, Chief Executive Officer, dated January 15, 2019
2. City of San Diego: Letter
3. Government Finance Officers Association: Letter from Emily S. Brock, Director, Federal Liaison Center, dated January 15, 2019
4. National Association of Municipal Advisors: Letter from Susan Gaffney, Executive Director, dated January 15, 2019
5. Securities Industry and Financial Markets Association: Letter from Leslie M. Norwood, Managing Director and Associate General Counsel, and Bernard V. Canepa, Vice President and Assistant General Counsel, dated January 15, 2019
All Comments to Notice 2018-22
1. Amuni Financial, Inc.: Letter from Mike Petagna, President, dated October 31, 2018
2. Bond Dealers of America: Letter from Michael Nicholas, Chief Executive Officer, dated November 13, 2018
3. Emmet & Co.: Email from Robert Ventrice dated September 14, 2018
4. Hartfield, Titus & Donnelly, LLC: Letter from Edward J. Smith, Chief Compliance Officer, and Christopher C. Ferreri, Chief Operating Officer, dated November 13, 2018
5. Headlands Tech Global Markets, LLC: Letter from Matthew F. Andresen, Chief Executive Officer, dated October 26, 2018
6. Regional Brokers, Inc.: Letter from Joseph A. Hemphill, III, Chief Executive Officer, and H. Deane Armstrong, Chief Compliance Officer, dated November 6, 2018
7. RW Smith & Associates, LLC: Letter from Denien Rasmussen, Co-Chief Compliance Officer, Chief Operating Officer, dated November 13, 2018
8. Securities Industry and Financial Markets Association: Letter from Leslie M. Norwood, Managing Director and Associate General Counsel, dated November 13, 2018
9. TMC Bonds: Letter from Thomas S. Vales, Chief Executive Officer, dated November 14, 2018
Bank Dealers, Dealers
1. Wells Fargo Advisors: Letter from Robert J. McCarthy, Director of Regulatory Policy, dated November 5, 2018
Bank Dealers, Dealers, Municipal Advisors
All Comments to Notice 2018-20
1. Bond Dealers of America: Letter from Michael Nicholas, Chief Executive Officer, dated November 27, 2018
2. National Association of Municipal Advisors: Letter from Susan Gaffney, Executive Director, dated November 28, 2018
3. Securities Industry and Financial Markets Association: Letter from Michael Decker, Managing Director, dated November 27, 2018
All Comments to Notice 2018-19
1. Bond Dealers of America: Letter from Mike Nicholas, Chief Executive Officer, dated September 14, 2018
2. National Association of Municipal Advisors: Letter from Susan Gaffney, Executive Director, dated September 17, 2018
3. Securities Industry and Financial Markets Association: Letter from Leslie M. Norwood, Managing Director and Associate General Counsel, dated September 14, 2018
4. Wells Fargo Advisors: Letter from Robert J. McCarthy, Director of Regulatory Policy, dated September 14, 2018
Bank Dealers, Dealers
