Select regulatory documents by category:
Bank Dealers, Dealers, Municipal Advisors
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
Bank Dealers, Dealers, Municipal Advisors
Bank Dealers, Dealers, Municipal Advisors
Bank Dealers, Dealers, Municipal Advisors
Bank Dealers, Dealers, Municipal Advisors
Dealers, Municipal Advisors
Bank Dealers, Dealers, Municipal Advisors
1. Bernardi Securities, Inc.: Letter from Eric Bederman, SVP, Chief Operating & Compliance Officer, dated November 17, 2015
2. Bond Dealers of America: Letter from Michael Nicholas, Chief Executive Officer, dated December 10, 2015
3. Brandis Tallman LLC: Letter from Richard Brandis
4. Castle Advisory Company: E-mail from Garth Schulz dated November 10, 2015
5. Coastal Securities: E-mail from Chris Melton, Executive Vice President, dated December 10, 2015
6. Financial Services Institute: Letter from David T. Bellaire, Executive Vice President & General Counsel, dated December 10, 2015
7. Geraldine Lettieri: E-mail dated November 10, 2015
8. Investment Company Institute: Letter from Martin A. Burns, Chief Industry Operations Officer, dated December 1, 2015
9. Securities Industry and Financial Markets Association: Letter from Leslie M. Norwood, Managing Director and Associate General Counsel, dated December 10, 2015
Bank Dealers, Dealers, Municipal Advisors
Bank Dealers, Dealers, Municipal Advisors
Bank Dealers, Dealers, Municipal Advisors
1. Bond Dealers of America: Letter from Michael Nicholas, Chief Executive Officer, dated November 19, 2015
2. National Association of Municipal Advisors: Letter from Terri Heaton, President, dated November 19, 2015
3. Office of the Investor Advocate, U.S. Securities and Exchange Commission: Letter from Rick A. Fleming, Investor Advocate, dated October 29, 2015
4. Securities Industry Financial Markets Association: Letter from Michael Decker, Managing Director, dated November 19, 2015
5. Stephen Heaney: E-mail dated November 10, 2015
Municipal Advisors
Bank Dealers, Dealers, Municipal Advisors
Bank Dealers, Dealers, Municipal Advisors
Bank Dealers, Dealers, Municipal Advisors
1. American Governmental Financial Services: E-mail from Robert Doty dated August 24, 2015
2, Andrew Glassberg: E-mail dated August 17, 2015
3. Association for Budgeting and Financial Management: Letter from Robert Kravchuk, Chair, et al., dated September 13, 2015
4. Bond Dealers of America: Letter from Michael Nicholas, Chief Executive Officer, dated August 24, 2015
5. Brandeis University: Letter from Daniel Bergstresser, Associate Professor of Finance, dated September 14, 2015
6. Coastal Securities: E-mail from Chris Melton, Executive Vice President, dated August 5, 2015
7. George Mason University: Letter from Jonathan L. Gifford, Professor and Director of Center for Transportation P3 Policy, dated September 1, 2015
8. John Mousseau: E-mail dated July 29, 2015
9. Larry Harris: Letter dated September 6, 2015
10. New York University: Letter from Norman White, Clinical Professor, et al., dated September 16, 2015
11. Pennsylvania State University: Letter from Patrick J. Cusatis, Associate Professor of Finance, dated September 10, 2015
12. Securities Industry and Financial Markets Association: Letter from Sean Davy, Managing Director, Capital Markets Division, and David L. Cohen, Managing Director and Associate General Counsel, Municipal Securities Division, dated September 11, 2015
13. University of Louisville: Letter from James R. Ramsey, President, dated September 4, 2015
Bank Dealers, Dealers, Municipal Fund Securities
Bank Dealers, Dealers, Municipal Advisors
1. Americans for Financial Reform; American Federation of State, County and Municipal Employees; and Consumer Federation of America: Letter dated July 13, 2015
2. Government Finance Officers Association: Letter from Dustin McDonald, Director, Federal Liaison Center, dated July 20, 2015
3. Investment Company Institute: Letter from Dorothy Donohue, Deputy General Counsel--Securities Regulation, dated July 13, 2015
4. Jay M. Goldstone: Letter dated July 10, 2015
5. Jerry Gold: Letter dated July 17, 2015
6. Lamont Financial Services Corporation: Letter from Bob Lamb, President, dated July 7, 2015
7. Loews Corporation: Letter from Mark G. Muller dated July 1, 2015
8. National Association of Municipal Advisors: Letter from Terri Heaton, President, dated July 13, 2015
9. National Federation of Municipal Analysts: Letter from Lisa S. Good, Executive Director, dated July 13, 2015
10. Office of the Investor Advocate, U.S. Securities and Exchange Commission: Letter from Rick A. Fleming, Investor Advocate, dated July 13, 2015
11. Robert E. Rutkowski: E-mail dated July 13, 2015
12. Robert Zubak: Letter dated July 6, 2015
13. Samson Capital Advisors: Letter from Benjamin S. Thompson, Managing Principal and Chief Executive Officer, dated July 7, 2015
14. Securities Industry and Financial Markets Association: Letter from Michael Decker, Managing Director, dated July 13, 2015
15. Wells Capital Management Incorporated: Letter from Gilbert L. Southwell III, Vice President, dated July 8, 2015
Bank Dealers, Dealers, Municipal Advisors
Municipal Advisors
Bank Dealers, Dealers, Municipal Advisors
Bank Dealers, Dealers, Municipal Advisors
Bank Dealers, Dealers, Municipal Advisors
1. Bernardi Securities: Letter from Eric Bederman, Chief Operating and Compliance Officer, dated December 26, 2014
2. Bond Dealers of America: Letter from Michael Nicholas, Chief Executive Officer, dated January 20, 2015
3. Coastal Securities: Letter from Chris Melton, Executive Vice President, dated January 16, 2015
4. Consumer Federation of America: Letter from Micah Hauptman, Financial Services Counsel, dated January 20, 2015
5. DelphX LLC: Letter from Larry E. Fondren, President and CEO, dated January 7, 2015
6. Diamant Investment Corporation: Letter from Herbert Diamant, President, dated January 9, 2015
7. Fidelity Investments: Letter from Norman L. Ashkenas, Chief Compliance Officer, Fidelity Brokerage Services, LLC, and Richard J. O'Brien, Chief Compliance Officer, National Financial Services, LLC, dated January 20, 2015
8. Financial Information Forum: Letter from Darren Wasney, Program Manager, dated January 20, 2015
9. Financial Services Institute: Letter from David T. Bellaire, Executive Vice President and General Counsel, dated January 20, 2015
10. Financial Services Roundtable: Letter from Rich Foster, Vice President and Senior Counsel for Regulatory and Legal Affairs, dated January 20, 2015
11. Gerald Heilpern: E-mail dated December 9, 2014
12. Gerald Heilpern: E-mail dated December 18, 2014
13. Gerald Heilpern: E-mail dated January 8, 2015
14. Hilliard Lyons: Letter from Alexander I. Rorke, Senior Managing Director, Municipal Securities Group, dated January 20, 2015
15. Hutchinson Shockey Erley & Co.: Letter from Thomas E. Dannenberg, President and CEO, dated January 20, 2015
16. Interactive Data: Letter from Andrew Hausman, President, Pricing and Reference Data, dated January 20, 2015
17. John Smith: E-mail dated December 10, 2014
18. Jorge Rosso: E-mail dated November 24, 2014
19. Karin Tex: Letter dated January 12, 2015
20. McLiney And Company: Email from George J. McLiney, Jr. dated December 22, 2014
21. Morgan Stanley Smith Barney LLC: Letter from Vincent Lumia, Managing Director, dated January 20, 2015
22. Nathan Hale Capital, LLC: Letter from Peter G. Brandel, Senior Vice President, Municipal Bond Trading, and Kenneth T. Kerr, Senior Vice President, Municipal Bond Trading, dated January 20, 2015
23. Office of the Investor Advocate, U.S. Securities and Exchange Commission: Letter from Rick A. Fleming, Investor Advocate, dated January 20, 2015
24. Private Citizen: E-mail dated November 23, 2014
25. R. Seelaus & Co., Inc.: Letter from Richard Seelaus dated January 8, 2015
26. RW Smith & Associates, LLC: E-mail from Paige Pierce dated January 21, 2015
27. Securities Industry and Financial Markets Association: Letter from Sean Davy, Managing Director, Capital Markets Division, and David L. Cohen, Managing Director and Associate General Counsel, Municipal Securities Division, dated January 20, 2015
28. Standard & Poor's Securities Evaluations, Inc.: Letter from Gregory Carlin, Vice President, dated January 20, 2015
29. Thomson Reuters: Letter from Kyle C. Wootten, Deputy Director - Compliance and Regulatory, dated January 16, 2015
30. Wells Fargo Advisors, LLC: Letter from Robert J. McCarthy, Director of Regulatory Policy, dated January 20, 2015
