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
All Comments to Notice 2023-02
- AKF Consulting: Letter from Andrea Feirstein, Managing Director, and Mark Chapleau, Senior Consultant, dated April 20, 2023
- Bond Dealers of America: Letter from Michael Decker, Senior Vice President, dated April 17, 2023
- College Savings Plans Network: Letter from Rachel Biar, Nebraska Assistant State Treasurer, NEST 529 College Savings Program Director, Chairman, College Savings Plans Network, dated April 17, 2023
- Government Finance Officers Association: Letter from Emily Brock, Director, Federal Liaison Center, dated July 21, 2023
- McLane, Curtis: Email dated April 19, 2023
- my529: Letter from Richard K. Ellis, Executive Director, dated April 17, 2023
- Securities Industry and Financial Markets Association: Letter from Leslie M. Norwood, Managing Director and Associate General Counsel, Head of Municipal Securities, dated April 17, 2023
Issuers, Municipal Advisors
All Comments to Notice 2022-13
- National Association of Municipal Advisors: Letter from Susan Gaffney, Executive Director, dated January 30, 2023
- Securities Industry and Financial Markets Association: Letter from Leslie M. Norwood, Managing Director and Associate General Counsel, dated January 30, 2023
- Wulff, Hansen & Co.: Letter from Chris Charles, President, dated December 29, 2022
Bank Dealers, Issuers, Municipal Advisors
1. Acacia Financial Group, Inc.: Letter from Noreen P. White, Co-President, and Kim M. Whelan, Co-President, dated June 29, 2017
2. American Bankers Association: Letter from Cristeena G. Naser, Vice President and Senior Counsel, Center for Securities, Trust and Investment, dated June 30, 2017
3. Bloomberg L.P.: Letter from Peter Warms, Senior Manager of Fixed Income, Entity, Regulatory Content and Symbology
4. Bond Dealers of America: Letter from Mike Nicholas, Chief Executive Officer, dated June 29, 2017
5. Center for Municipal Finance: Letter from Marc D. Joffe, President, dated June 28, 2017
6. Eastern Bank: Letter
7. Fieldman Rolapp & Associates: Letter from Adam S. Bauer, Chief Executive Officer and President, dated June 30, 2017
8. Government Capital Securities Corp: Email from Ted Christensen dated June 1, 2017
9. Government Finance Officers Association: Letter from Emily Brock, Director, Federal Liaison Center, dated June 30, 2017
10. National Association of Municipal Advisors: Letter from Susan Gaffney, Executive Director, dated June 30, 2017
11. New Jersey State League of Municipalities: Letter from Michael F. Cerra, Assistant Executive Director, dated June 27, 2017
12. PFM: Letter from Leo Karwejna, Chief Compliance Officer, Cheryl Maddox, General Counsel, and Catherine Humphrey-Bennett, Municipal Advisory Compliance Officer, dated July 3, 2017
13. Piper Jaffray & Co.: Letter from Frank Fairman, Managing Director, Head of Public Finance Services, and Rebecca Lawrence, Managing Director, Associate General Counsel, Public Finance and Fixed Income, dated June 29, 2017
14. Securities Industry and Financial Markets Association: Letter from Leslie M. Norwood, Managing Director and Associate General Counsel, dated June 30, 2017
15. Southern Municipal Advisors, Inc.: Letter from Michael C. Cawley, Senior Consultant, dated June 29, 2017
16. Township of East Brunswick: Email from L. Mason Neely dated June 2, 2017
