Select regulatory documents by category:
Bank Dealers, Dealers, Investors, Municipal Advisors
Dealers, Municipal Advisors
Bank Dealers, Dealers
Bank Dealers, Dealers
MSRB Amends Certain Fees for Dealers and Municipal Advisors and Proposes an Annual Rate Card Process
Bank Dealers, Dealers, Issuers
Bank Dealers, Dealers
Bank Dealers, Dealers, Municipal Advisors
Dealers, Municipal Advisors, Municipal Fund Securities
Bank Dealers, Dealers, Municipal Advisors, Municipal Fund Securities
Bank Dealers, Dealers
Bank Dealers, Dealers
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
Dealers, Investors
Bank Dealers, Dealers, Municipal Advisors
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, Dealers
Bank Dealers, Dealers
Bank Dealers, Dealers
Bank Dealers, Dealers, Municipal Advisors
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
