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Notice 2012-41 - Request for Comment
Publication date: | Comment due:
Information for:

Bank Dealers, Dealers


1.  Bond Dealers of America: Letter from Michael Nicholas, Chief Executive Officer, dated September 21, 2012

2.  Charles Schwab & Co. Inc.: Letter from Bari Havlik, Senior Vice President and Chief Compliance Officer, dated September 21, 2012

3.  Cooley, Bruce: Letter

4.  Fidelity Investments: Letter from David A. Forman, Vice President and General Counsel, dated September 21, 2012

5.  Investment Company Institute: Letter from Tamara K. Salmon, Senior Associate Counsel, dated September 21, 2012

6.  Securities Industry and Financial Markets Association: Letter from David L. Cohen, Managing Director and Associate General Counsel, dated September 21, 2012

7.  TD Ameritrade, Inc.: Letter from John S. Markle, Deputy General Counsel, dated September 26, 2012

8.  Wells Fargo Advisors: Letter from Ronald C. Long, Director of Regulatory Affairs, dated September 21, 2012

Notice 2012-40 - Request for Comment
Publication date: | Comment due:
Information for:

Bank Dealers, Dealers, Municipal Fund Securities


1.  College Savings Plans Network and College Savings Foundation: Letter from Hon. Michael L. Fitzgerald, Treasurer of Iowa and Chairman, College Savings Plans Network, and Roger Michaud, Chairman, College Savings Foundation, dated September 14, 2012

2.  College Savings Plans of Maryland: Letter from Joan Marshall, Executive Director, dated September 14, 2012

3.  Financial Research Corporation: Letter dated August 29, 2012

4.  Investment Company Institute: Letter from Tamara K. Salmon, Senior Associate Counsel, dated September 14, 2012

5.  Securities Industry and Financial Markets Association: Letter from David L. Cohen, Managing Director and Associate General Counsel, dated September 14, 2012

6.  Sutherland Asbill & Brennan LLP: Letter from Michael Koffler, dated September 14, 2012

7.  Utah Educational Savings Plan: Letter from Lynne N. Ward, Executive Director, dated September 14, 2012

Notice 2012-39 - Informational Notice
Publication date:
Notice 2012-38 - Informational Notice
Publication date:
Notice 2012-36 - Request for Comment
Publication date: | Comment due:
Information for:

Bank Dealers, Dealers

Rule Number:

Rule G-11


1.  Investment Company Institute: Letter from Dorothy Donohue, Deputy General Counsel - Securities Regulation, dated August 10, 2012

2.  Municipal Electric Authority of Georgia: Letter from James E. Fuller, Senior Vice President and Chief Financial Officer, dated August 13, 2012

3.  National Association of Independent Public Finance Advisors: Letter from Colette J. Irwin-Knott, President, dated August 13, 2012

4.  National Federation of Municipal Analysts: Letter from Lisa Good, Executive Director, dated July 30, 2012

5.  New York City Municipal Water Finance Authority: Letter from Thomas G. Paolicelli, Executive Director, dated July 24, 2012

6.  Nuveen Asset Management: Letter from Cadmus Hicks, Managing Director, dated August 7, 2012

7.  Rhode Island Health and Educational Building Corporation: Letter from Robert E. Donovan, Executive Director, dated July 24, 2012

8.  Securities Industry and Financial Markets Association: Letter from Leslie M. Norwood, Managing Director and Associate General Counsel, dated August 13, 2012

9.  Standish Mellon Asset Management: E-mail from David Belton dated August 9, 2012

Notice 2012-35 - Informational Notice
Publication date:
Compliance Resource
Publication date:
Information for:

Bank Dealers, Dealers, Municipal Fund Securities

Rule Number:

Rule G-45

Compliance Resource
Publication date:
Information for:

Bank Dealers, Dealers, Municipal Advisors

Rule Number:

Rule G-8

Compliance Resource
Publication date:
Information for:

Bank Dealers, Dealers, Municipal Advisors

Rule Number:

Rule G-37

Compliance Resource
Publication date:
Information for:

Bank Dealers, Dealers, Municipal Advisors

Rule Number:

Rule A-12