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Notice 2022-13 - Request for Comment
Publication date: | Comment due:
Notice 2022-03 - Informational Notice
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Compliance Resource
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Information for:

Issuers, Municipal Advisors

Rule Number:

Rule G-40

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

General Public, Investors, Issuers, Municipal Advisors

Compliance Resource
Publication date:
Compliance Resource
Publication date:
Information for:

Issuers, Municipal Advisors

Rule Number:

Rule G-42

Compliance Resource
Publication date:
Information for:

Bank Dealers, Dealers, General Public, Investors, Issuers, Municipal Advisors

Notice 2017-11 - Request for Comment
Publication date: | Comment due:
Information for:

Bank Dealers, Issuers, Municipal Advisors

Rule Number:

Rule G-34

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

Compliance Resource
Publication date:
Information for:

Bank Dealers, Dealers, General Public, Investors, Issuers, Municipal Advisors

Rule Number:

Rule G-8

Compliance Resource
Publication date:
Information for:

General Public, Issuers, Municipal Advisors

Rule Number:

Rule G-42

Compliance Resource
Publication date:
Compliance Resource
Publication date:
Information for:

Issuers, Municipal Advisors

Rule Number:

Rule G-42