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Compliance Resource
Publication date:
Notice 2019-11 - Informational Notice
Publication date:
Notice 2019-09 - Informational Notice
Publication date:
Notice 2019-08 - Request for Comment
Publication date: | Comment due:
Information for:

Municipal Advisors

Rule Number:

Rule G-34

All Comments to Notice 2019-08

1. Bernardi Securities, Inc.: Letter from Lou Lamberti, Sr. Vice President, dated May 24, 2019

2. Bloomberg L.P.: Letter from Peter Warms, Senior Manager, Entity and Identifier Services, dated May 28, 2019

3. Bond Dealers of America: Letter from Michael Nicholas, Chief Executive Officer, dated May 28, 2019

4. Dixworks LLC: Letter from Dennis Dix, Jr., dated March 4, 2019

5. Lamont Financial Services Corporation: Letter from Robert A. Lamb, President, dated May 7, 2019

6. National Association of Municipal Advisors: Letter from Susan Gaffney, Executive Director, dated May 28, 2019

7. Securities Industry and Financial Markets Association: Letter from Leslie M. Norwood, Managing Director and Associate General Counsel, dated May 28, 2019

8. Municipal Solutions, Inc.: Letter from Jeffrey R. Smith, President, dated May 28, 2019

Notice 2019-07 - Informational Notice
Publication date:
Notice 2019-06 - Informational Notice
Publication date:
Information for:

Municipal Advisors

Rule Number:

Rule A-16

Notice 2019-04 - Informational Notice
Publication date:
Information for:

Bank Dealers, Dealers, Municipal Advisors

Compliance Resource
Publication date:
Notice 2019-03 - Informational Notice
Publication date:
Information for:

Bank Dealers, Dealers, Municipal Advisors

Rule Number:

Rule G-21, Rule G-40

Notice 2019-02 - Informational Notice
Publication date:
Information for:

Bank Dealers, Dealers, Municipal Advisors

Compliance Resource
Publication date:
Information for:

Bank Dealers, Dealers, Municipal Advisors

Rule Number:

Rule G-20

Notice 2018-33 - Informational Notice
Publication date:
Notice 2018-32 - Informational Notice
Publication date:
Notice 2018-31 - Approval Notice
Publication date:
Notice 2018-30 - Approval Notice
Publication date:
Notice 2018-29 - Request for Comment
Publication date: | Comment due:
Information for:

Bank Dealers, Dealers, Municipal Advisors

Rule Number:

Rule G-17

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

Notice 2018-28 - Regulatory Reminder
Publication date:
Notice 2018-27 - Informational Notice
Publication date:
Information for:

Bank Dealers, Dealers, Municipal Advisors

Notice 2018-26 - Informational Notice
Publication date:
Notice 2018-24 - Informational Notice
Publication date:
Notice 2018-25 - Request for Comment
Publication date: | Comment due:
Information for:

Municipal Advisors

Rule Number:

Rule G-40

All Comments to Notice 2018-25

1. Bond Dealers of America: Letter from Mike Nicholas, Chief Executive Officer, dated October 17, 2018; and Letter from Michael Nicholas, Chief Executive Officer, dated November 30, 2018

2. National Association of Municipal Advisors: Letter from Susan Gaffney, Executive Director, dated October 17, 2018

3. Securities Industry and Financial Markets Association: Letter from Leslie M. Norwood, Managing Director and Associate General Counsel, dated October 17, 2018

4. Springsted Incorporated: Letter from Kathleen A. Aho, President, dated October 17, 2018

Notice 2018-23 - Informational Notice
Publication date:
Information for:

Bank Dealers, Dealers, Municipal Advisors

Notice 2018-20 - Request for Comment
Publication date: | Comment due:
Information for:

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

Notice 2018-18 - Regulatory Reminder
Publication date:
Information for:

General Public, Investors, Issuers, Municipal Advisors

Compliance Resource
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