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Notice 2022-11 - Request for Comment
Publication date: | Comment due:
Notice 2022-07 - Request for Comment
Publication date: | Comment due:
Information for:

Bank Dealers

Rule Number:

Rule G-14

  1. American Securities Association: Letter from Kelli McMorrow, Head of Government Affairs, dated September 30, 2022

  2. Amuni Financial, Inc.: Letter from Mike Petagna, President, dated August 23, 2022
  3. Bailey, Bill: Email dated August 4. 2022
  4. Belle Haven Investments, L.P.: Letter from Matt Dalton, Chief Executive Officer, dated October 3, 2022
  5. Bernardi Securities, Inc.: Letter from Ronald P. Bernardi, President and CEO, dated September 30, 2022
  6. BetaNXT: Letter from Will Leahey, Head of Regulatory Compliance, dated October 3, 2022

  7. Bond Dealers of America: Letter from Michael Decker, Senior Vice President for Public Policy, dated October 3, 2022
  8. Bryant Bank: Letter from David Long, Executive Vice President, Correspondent Banking/Capital Markets, and Vincent Webb, Managing Director, Bryant Bank Capital Markets, dated September 28, 2022
  9. Cambridge Investment Research, Inc.: Letter from Seth A. Miller, General Counsel, President, Advocacy and Administration, dated October 3, 2022

  10. Cantella & Co., Inc.: Email from Jay Lanstein, Chief Executive Officer and Chief Technology Officer, dated September 16, 2022
  11. Cantone Research, Inc.: Email from Maryann Cantone dated August 2, 2022
  12. Colwell, J.D.: Letter dated September 9, 2022
  13. DeRobbio, Raymond: Email dated August 3, 2022
  14. Dimensional Fund Advisors LP: Letter from Gerard O’Reilly, Co-CEO and Chief Investment Officer, and David A. Plecha, Global Head of Fixed Income, dated September 26, 2022
  15. Estrada Hinojosa & Co., Inc.: Letter from Robert A. Estrada, Chairman (Emeritus), dated October 3, 2022

  16. Falcon Square Capital, LLC: Letter from Melissa P. Hoots, CEO/CCO, dated October 3, 2022
  17. Financial Information Forum: Letter from Howard Meyerson, Managing Director, dated October 3, 2022
  18. Ford & Associates, Inc.: Letter from Jonathan W. Ford, Senior Vice President, dated September 9, 2022
  19. Hartfield, Titus & Donnelly, LLC: Letter from Edward J. Smith, General Counsel and Chief Compliance Officer, dated September 14, 2022
  20. Herbert J. Sims & Co., Inc.: Letter from Melissa Messina, Executive Vice President, Associate General Counsel, R. Jeffrey Sands, Managing Principal, General Counsel, and William Sims, Managing Principal, dated October 3, 2022
  21. Higgins Capital Management, Inc.: Email from Deborah Higgins dated September 19, 2022
  22. Hilltop Securities: Letter from Lana Calton, Executive Managing Director, Head of Clearing, dated October 3, 2022
  23. Honey Badger Investment Securities, LLC: Letter from Joe Lee, CEO, dated September 30, 2022
  24. ICE Bonds Securities Corporation: Letter from Robert Laorno, General Counsel, dated September 30, 2022
  25. InspereX LLC: Letter from Robert D. Bullington, Vice President, Compliance Officer, dated October 3, 2022
  26. Institutional Securities Corporation: Letter from Scott Hayes, President and CEO, and Chris Neidlinger, CCO, dated September 30, 2022
  27. Investment Company Institute: Letter from Sarah A. Bessin, Associate General Counsel, dated October 3, 2022
  28. Investment Planning Group: Email from Darius Lashkari dated August 2, 2022
  29. Isaak Bond Investments: Letter from John Isaak, Sr. Vice President, dated August 16, 2022
  30. Isaak Bond Investments, Inc.: Letter from Donald J. Lemek, VP-Operations and CFO
  31. Kiley Partners, Inc.: Email from Mike Kiley, Owner, dated September 27, 2022
  32. Madison Paige Securities: Letter from Gary Herschitz, CEO, dated September 30, 2022
  33. Mayes, Christopher: Email dated September 27, 2022
  34. Miner, Kathy: Letter dated October 2, 2022

  35. Municipal Securities Rulemaking Board: Memorandum dated September 12, 2022
  36. Northland Securities Inc.: Letter from Randy Nitzsche, President and CEO, dated October 3, 2022
  37. Oberweis Securities, Inc.: Letter from James W. Oberweis, President, dated September 28, 2022
  38. Regional Brokers, Inc.: Letter from H. Deane Armstrong, CCO, and Joseph A. Hemphill III, CEO, dated October 3, 2022

  39. Robert Blum Municipals, Inc.: Letter from Robert Blum, President, dated September 16, 2022
  40. Roosevelt & Cross, Inc.: Letter from F. Gregory Finn, Chief Executive Officer, dated October 3, 2022
  41. RW Smith & Associates, LLC: Letter from Christopher Ferreri, President, dated September 13, 2022
  42. SAMCO Capital Markets, Inc.: Letter from Lee Maverick, Chief Compliance Officer, dated September 30, 2022
  43. Sanderlin Securities LLC: Letter from Matthew Kamler, President, dated September 27, 2022
  44. Securities Industry and Financial Markets Association and the SIFMA Asset Management Group: Letter from Kenneth E. Bentsen, Jr., President and CEO, dated October 3, 2022
  45. Sentinel Brokers Company, Inc.: Letter from Joseph Lawless, CEO, dated September 30, 2022
  46. Sheedy, Edward: Email dated August 2, 2022
  47. Stern Brothers and Co.: Letter dated October 3, 2022
  48. TRADEliance, LLC: Letter from Jesy LeBlanc and Kat Miller dated September 28, 2022

  49. Tuma, William: Email dated August 8, 2022
  50. Wells Fargo & Company: Letter from Nyron Latif, Head of Operations, Wells Fargo Wealth and Investment Management, and Todd Primavera, Head of Operations, Wells Fargo Corporate and Investment Bank, dated October 3, 2022
  51. Wiley Bros.-Aintree Capital, LLC: Letter from Keener Billups, Managing Director, Municipal Bond Department, dated September 20, 2022
  52. Wintrust Investments, LLC: Email from Thomas Kiernan dated August 2, 2022
  53. Zia Corporation: Email from Glenn Burnett dated September 6, 2022
Notice 2021-18 - Request for Comment
Publication date: | Comment due:
Information for:

Municipal Advisors

Rule Number:

Rule G-17, Rule G-46

1. National Association of Municipal Advisors: Letter from Susan Gaffney, Executive Director, dated March 15, 2022

2. Securities Industry and Financial Markets Association: Letter from Leslie M. Norwood, Managing Director and Associate General Counsel, dated March 15, 2022

3. Third-Party Marketers Association: Letter from Donna DiMaria, Chairman of the Board of Directors and Chair of the 3PM Regulatory Committee, dated March 15, 2022

Notice 2021-17 - Request for Comment
Publication date: | Comment due:
Information for:

Municipal Fund Securities

Rule Number:

Summary of Responses to the MSRB's Request for Information on ESG Practices in the Municipal Securities Market (August 2022)

1. 1919 Investment Counsel, LLC: Letter from Robert Fisher, Vice President, Credit Analyst - Municipal

2. AGVP Advisory: Email from Dan Aschenbach dated January 18, 2022

3. American Bankers Association: Letter from Justin M. Underwood, Executive Director, ABASA, Vice President, Banking Policy, dated March 8, 2022

4. American Securities Association: Letter from Christopher A. Iacovella, Chief Executive Officer, dated March 8, 2022

5. Anonymous: Email dated February 21, 2022

6. Baker Tilly Municipal Advisors, LLC: Letter from the BTMA Disclosure Leadership Team: Brian Colton, Susan Reed and Alyssa Glaser, dated March 8, 2022

7. Bloomberg L.P.: Letter from Gregory Babyak, Global Head of Regulatory Affairs, dated March 8, 2022

8. Bond Dealers of America: Letter from Michael Decker, Senior Vice President, dated March 8, 2022

9. Breckinridge Capital Advisors, Inc.: Letter from Adam Stern, Co-Head of Research, dated February 7, 2022

10. Build America Mutual: Letter from Laura Levenstein, Chief Risk Officer, and Michael Stanton, Head of Strategy & Communications, dated March 8, 2022

11. California Green Bond Market Development Committee (CGBMDC): Letter from David Wooley, Cecilia Latapi, and Michael Paparian, Secretariat for CGBMDC, dated March 8, 2022

12. Center for American Progress: Letter from Alexandra Thornton, Senior Director, Tax Policy, and Kevin DeGood, Director, Infrastructure Policy, dated March 8, 2022

13. Ceres and the Ceres Accelerator for Sustainable Capital Markets: Letter from Steven M. Rothstein, Managing Director, and Jim Scott, Senior Advisor, Financial Institutions, dated March 2, 2022

14. City of Detroit: Letter

15. City of New York, Office of the Comptroller: Letter from Marjorie E. Henning, Deputy Comptroller for Public Finance, dated March 7, 2022

16. City of San Diego, Debt Management: Letter from Lakshmi Kommi, Debt Management Director, dated March 9, 2022

17. Climate Resilience Consulting: Email from Joyce Coffee dated December 17, 2021

18. Community Capital Management, LLC: Letter from Julie Egan, Director of Research/Portfolio Manager

19. Consumer Federation of America: Letter from Dylan Bruce, Financial Services Counsel, dated March 14, 2022

20. Disclosure Industry Workgroup: Letter dated March 8, 2022

21. Domini Impact Investments LLC: Letter from Mary Beth Gallagher, Director of Engagement, dated March 8, 2022

22. Goldman Sachs: Letter

23. Government Finance Officers Association: Letter from Emily Swenson Brock, Director, Federal Liaison Center, dated March 8, 2022

24. Intercontinental Exchange, Inc.: Letter from Anthony Belcher, Vice President, Sustainable Finance, dated March 14, 2022

25. Investment Company Institute: Letter from Dorothy Donohue, Deputy General Counsel - Securities Regulation, dated March 8, 2022

26. ISS ESG: Letter from Maximilian Horster, Head of ISS ESG Business, and John McLean, ISS ESG, Muni QualityScore, dated March 8, 2022

27. Kestrel 360, Inc.: Letter from Monica Reid, CEO and Founder, dated March 2022

28. Lansing Board of Water & Light: Email from Heather Shawa, dated March 3, 2022

29. Large Public Power Council: Letter from John Di Stasio, President, dated March 22, 2022

30. Lord Abbett & Co. LLC: Letter from Daniel S. Solender, Partner and Director of Tax Free Fixed Income

31. Ludvigsen, Phillip J.: Letter 

32. MacKay Shields: Letter

33. McIntyre, James: Letter dated March 8, 2022

34. Milken Institute Center for Financial Markets: Letter from Dan Carol, Senior Director, Milken Institute Center for Financial Markets, and Caitlin MacLean, Senior Director, Innovative Finance, Milken Institute, and members of the Milken Institute Public Finance Advisory Council, dated March 8, 2022

35. National Association of Bond Lawyers: Letter from Ann D. Fillingham, President, dated March 7, 2022

36. National Association of College and University Business Officers: Letter from Elizabeth L. Clark, Vice President, Policy and Research, dated March 8, 2022

37. National Association of Health and Educational Facilities Finance Authorities: Letter from Dennis Reilly, President, and Charles Samuels, of Counsel, dated March 7, 2022

38. National Association of Municipal Advisors: Letter from Susan Gaffney, Executive Director, dated March 8, 2022

39. National Federation of Municipal Analysts: Letter from Lisa S. Good dated March 8, 2022

40. New Jersey Infrastructure Bank: Letter dated March 8, 2022

41. New York City Housing Development Corporation: Letter from Ellen K. Duffy, EVP Debt Issuance & Finance

42. PFM Financial Advisors, LLC: Letter from Cheryl Maddox, Chief Legal and Compliance Officer, and Daniel Hartman, Chief Executive Officer, dated March 7, 2022

43. PIMCO: Letter from David Hammer, Managing Director and Head of Municipal Bond Portfolio Management, dated March 4, 2022\

44. Principles for Responsible Investment: Letter from Greg Hershman, Head of US Policy, dated March 8, 2022

45. Public Finance Initiative: Letter from Lourdes German, Executive Director, dated March 8, 2022

46. San Francisco Public Utilities Commission: Letter

47. Securities Industry and Financial Markets Association: Letter from Leslie M. Norwood, Managing Director and Associate General Counsel, dated March 8, 2022

48. Sperry Capital Inc.: Letter from Bryant Jenkins, Principal, dated March 8, 2022

49. State of Florida, Division of Bond Finance: Letter dated March 8, 2022

50. State of Wisconsin, Department of Administration: Letter from David R. Erdman, Capital Finance Director, dated March 8, 2022

51. TIAA: Letter from Amy M. O'Brien, Executive Vice President, Head of Responsible Investment, and Yves P. Denize, Senior Managing Director, Division General Counsel, dated March 8, 2022

52. Utah State Treasurer et al.: Letter dated March 8, 2022

 

Notice 2021-12 - Request for Comment
Publication date: | Comment due:
Information for:

Bank Dealers, Dealers, Municipal Advisors

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

Notice 2021-08 - Request for Comment
Publication date: | Comment due:
Information for:

Bank Dealers, Dealers, Municipal Advisors

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

Notice 2021-07 - Request for Comment
Publication date: | Comment due:
Information for:

Rule Number:

Rule G-17

1. National Association of Municipal Advisors: Letter from Susan Gaffney, Executive Director, dated June 17, 2021

2. Securities Industry and Financial Markets Association: Letter from Leslie M. Norwood, Managing Director and Associate General Counsel, dated June 17, 2021

3. Third-Party Marketers Association: Letter from Donna DiMaria, Chairman of the Board of Directors and Chair of the 3PM Regulatory Committee, dated June 16, 2021

Notice 2021-06 - Request for Comment
Publication date: | Comment due:
Information for:

Bank Dealers

Rule Number:

Rule G-19

1. American Bankers Association: Letter from Justin M. Underwood, Executive Director - ABASA, Vice President, Banking Policy, dated June 2, 2021

2. American Securities Association: Letter from Christopher A. Iacovella, Chief Executive Officer, dated May 27, 2021

3. Capital Markets Group of Commerce Bank: Letter from Erik Swanson, Managing Director, and Joseph Reece, Chief Compliance Officer

4. Securities Industry and Financial Markets Association: Letter from Leslie M. Norwood, Managing Director and Associate General Counsel, dated June 2, 2021

Notice 2020-19 - Request for Comment
Publication date: | Comment due:
Information for:

Bank Dealers, Dealers, Municipal Advisors

Rule Number:

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

Notice 2020-02 - Request for Comment
Publication date: | Comment due:
Information for:

Bank Dealers, Dealers, Municipal Advisors

Rule Number:

Rule A-3

1. Acacia Financial Group, Inc.: Letter from Kim M. Whelan, Co-President, and Noreen P. White, Co-President, dated April 29, 2020

2. Action Center on Race and the Economy, AFSCME, AFL-CIO, Americans for Financial Reform Education Fund, Consumer Federation of America and Public Citizen: Letter dated April 29, 2020

3. Bond Dealers of America: Letter from Mike Nicholas, Chief Executive Officer, dated April 29, 2020

4. Government Finance Officers Association: Letter from Emily Swenson Brock, Director, Federal Liaison Center, dated April 29, 2020

5. Investment Company Institute: Letter from Dorothy Donohue, Deputy General Counsel - Securities Regulation, dated April 15, 2020

6. National Association of Municipal Advisors: Letter from Susan Gaffney, Executive Director, dated April 29, 2020

7. National Association of State Auditors, Comptrollers and Treasurers: Letter from Beth Pearce, President, dated April 30, 2020

8.  National Association of State Treasurers: Letter from Shaun Snyder, Executive Director, dated April 28, 2020

9. National Federation of Municipal Analysts: Letter from Nicole Byrd, Chair, dated April 29, 2020

10. 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 April 29, 2020

11. Steve Apfelbacher, Renee Boicourt, Marianne Edmonds, Robert Lamb, Nathaniel Singer and Noreen White [former MSRB Board members]: Letter dated April 29, 2020

Notice 2019-13 - Request for Comment
Publication date: | Comment due:
Information for:

Bank Dealers, Dealers, Municipal Advisors

Rule Number:

Rule G-23

1. Acacia Financial Group, Inc.: Letter from Kim M. Whelan, Co-President, and Noreen P. White, Co-President, dated August 19, 2019

2. Bond Dealers of America: Letter from Michael Nicholas, Chief Executive Officer, dated August 23, 2019

3. Columbia Capital Management, LLC: Letter from Jeff White, Managing Member, dated August 19, 2019

4. Crews & Associates, Inc.: Letter from Don Winton, Chief Operating Officer, dated August 23, 2019

5. Ehlers: Letter from Phil Cosson, Ehlers Board Chairman

6. First Kentucky Securities Corp.: Email from Stan Kramer dated August 13, 2019

7. Government Finance Officers Association: Letter from Emily Swenson Brock, Director, Federal Liaison Center, dated August 19, 2019

8. KPM Financial, LLC: Letter from Jay Saunders, Director

9. Kutak Rock LLP: Letter from Joshua P. Meyer dated August 16, 2019

10. Lewis Young Robertson & Burningham, Inc.: Letter from Laura D. Lewis, Principal, dated August 7, 2019

11. National Association of Municipal Advisors: Letter from Susan Gaffney, Executive Director, dated August 19, 2019

12. Phoenix Advisors, LLC: Letter from David B. Thompson, CEO, dated August 14, 2019

13. Richard Li: Email dated January 29, 2020

14. Robert W. Doty: Letter dated August 19, 2019 

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 August 19, 2019

16. Speer Financial, Inc.: Letter from Daniel Forbes, President, dated August 19, 2019

17. State of Florida, Division of Bond Finance: Letter from J. Ben Watkins III, Director, dated September 3, 2019

18. Zions Public Finance, Inc. and Zions Bank Public Finance: Letter from James Livingston, Executive Vice President, dated August 14, 2019

Notice 2019-08 - Request for Comment
Publication date: | Comment due:
Information for:

Municipal Advisors

Rule Number:

Rule G-34

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 2019-01 - Request for Comment
Publication date: | Comment due:
Information for:

Bank Dealers, Dealers

1. Bond Dealers of America: Letter from Mike Nicholas, Chief Executive Officer, dated March 5, 2019

2. Regional Brokers, Inc.: Letter from H. Deane Armstrong, CCO, and Joseph A. Hemphill, CEO, dated March 7, 2019

3. Securities Industry and Financial Markets Association: Letter from Leslie M. Norwood, Managing Director and Associate General Counsel, dated March 6, 2019

Notice 2018-29 - Request for Comment
Publication date: | Comment due:
Information for:

Bank Dealers, Dealers, Municipal Advisors

Rule Number:

Rule G-17

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 2018-25 - Request for Comment
Publication date: | Comment due:
Information for:

Municipal Advisors

Rule Number:

Rule G-40

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 2018-22 - Request for Comment
Publication date: | Comment due:
Information for:

Bank Dealers, Dealers

Rule Number:

Rule G-17, Rule G-18

1. Amuni Financial, Inc.: Letter from Mike Petagna, President, dated October 31, 2018

2. Bond Dealers of America: Letter from Michael Nicholas, Chief Executive Officer, dated November 13, 2018

3. Emmet & Co.: Email from Robert Ventrice dated September 14, 2018

4. Hartfield, Titus & Donnelly, LLC: Letter from Edward J. Smith, Chief Compliance Officer, and Christopher C. Ferreri, Chief Operating Officer, dated November 13, 2018

5. Headlands Tech Global Markets, LLC: Letter from Matthew F. Andresen, Chief Executive Officer, dated October 26, 2018

6. Regional Brokers, Inc.: Letter from Joseph A. Hemphill, III, Chief Executive Officer, and H. Deane Armstrong, Chief Compliance Officer, dated November 6, 2018

7. RW Smith & Associates, LLC: Letter from Denien Rasmussen, Co-Chief Compliance Officer, Chief Operating Officer, dated November 13, 2018

8. Securities Industry and Financial Markets Association: Letter from Leslie M. Norwood, Managing Director and Associate General Counsel, dated November 13, 2018

9. TMC Bonds: Letter from Thomas S. Vales, Chief Executive Officer, dated November 14, 2018

 

Notice 2018-21 - Request for Comment
Publication date: | Comment due:
Information for:

Bank Dealers, Dealers

Rule Number:

1. Wells Fargo Advisors: Letter from Robert J. McCarthy, Director of Regulatory Policy, dated November 5, 2018

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

Bank Dealers, Dealers, Municipal Advisors

Rule Number:

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 2018-19 - Request for Comment
Publication date: | Comment due:
Information for:

Bank Dealers, Dealers, Municipal Advisors

Rule Number:

Rule G-21, Rule G-40

1. Bond Dealers of America: Letter from Mike Nicholas, Chief Executive Officer, dated September 14, 2018

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

3. Securities Industry and Financial Markets Association: Letter from Leslie M. Norwood, Managing Director and Associate General Counsel, dated September 14, 2018

4. Wells Fargo Advisors: Letter from Robert J. McCarthy, Director of Regulatory Policy, dated September 14, 2018

Notice 2018-15 - Request for Comment
Publication date: | Comment due:
Information for:

Bank Dealers, Dealers, Municipal Advisors

Rule Number:

Rule G-11, Rule G-32

1. Acacia Financial Group, Inc.: Letter from Noreen P. White, Co-President, and Kim M. Whelan, Co-President, dated September 17, 2018

2. Bond Dealers of America: Letter from Mike Nicholas, Chief Executive Officer, dated September 17, 2018

3. C F I: Email from Stephen Holstein dated July 25, 2018

4. Ehlers Associates, Inc.: Letter from Steve Apfelbacher dated September 17, 2018

5. Government Finance Officers Association: Letter from Emily S. Brock, Director, Federal Liaison Center, dated September 19, 2018 

6. National Association of Municipal Advisors: Letter from Susan Gaffney, Executive Director, dated September 18, 2018

7. National Federation of Municipal Analysts: Letter from Julie Egan, NFMA Industry Practices and Procedures Chair, and Lisa Washburn, NFMA Industry Practices and Procedures Co-Chair, dated September 17, 2018

8. Office of the Investor Advocate, U.S. Securities and Exchange Commission: Letter from Rick A. Fleming, Investor Advocate, dated September 17, 2018

9. Public Resources Advisory Group: Letter from Marianne F. Edmonds dated September 18, 2018

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

Notice 2018-14 - Request for Comment
Publication date: | Comment due:
Information for:

Municipal Advisors

Rule Number:

Rule G-40

1. Bond Dealers of America: Letter from Mike Nicholas, Chief Executive Officer, dated July 27, 2018

2. National Association of Municipal Advisors: Letter from Susan Gaffney, Executive Director, dated July 27, 2018

3. Securities Industry and Financial Markets Association: Letter from Leslie M. Norwood, Managing Director and Associate General Counsel, dated July 26, 2018


Notice 2018-10 - Request for Comment
Publication date: | Comment due:
Information for:

Bank Dealers, Dealers, Municipal Advisors

Rule Number:

Rule G-17

1. Bond Dealers of America: Letter from Mike Nicholas, Chief Executive Officer, dated August 6, 2018

2. Government Finance Officers Association: Letter from Emily S. Brock, Director, Federal Liaison Center, dated August 6, 2018

3. National Association of Municipal Advisors: Letter from Susan Gaffney, Executive Director, dated August 6, 2018

4. Securities Industry and Financial Markets Association: Letter from Leslie M. Norwood, Managing Director and Associate General Counsel, dated August 6, 2018

5. State of Florida, Division of Bond Finance: Letter from J. Ben Watkins III, Director, dated August 8, 2018

Notice 2018-09 - Request for Comment
Publication date: | Comment due:
Information for:

Bank Dealers, Dealers

1. Bond Dealers of America: Letter from Mike Nicholas, Chief Executive Officer, dated July 16, 2018

2. Financial Services Institute: Letter from Robin Traxler, Vice President, Regulatory Affairs and Associate General Counsel, dated July 16, 2018

3. Securities Industry and Financial Markets Association: Letter from Leslie M. Norwood, Managing Director and Associate General Counsel, dated July 16, 2018

 

Notice 2018-03 - Request for Comment
Publication date: | Comment due:
Information for:

Municipal Advisors

Rule Number:

Rule G-42

1. Bond Dealers of America: Letter from Michael Nicholas, Chief Executive Officer, dated April 20, 2018

2. cfX Incorporated: Letter from Benjamin Madorsky, Chief Compliance Officer, dated April 16, 2018

3. Kensington Capital Advisors: Email from Kim Wyatt dated February 22, 2018

4. National Association of Health and Educational Facilities Finance Authorities: Letter from Charles A. Samuels, Counsel for NAHEFFA, dated April 16, 2018

5. National Association of Municipal Advisors: Letter from Susan Gaffney, Executive Director, dated April 16, 2018

6. PFM Financial Advisors LLC: Letter from Catherine Humphrey-Bennett, Municipal Advisory Compliance Officer, dated April 16, 2018

7. Piper Jaffray & Co.: Letter from Frank Fairman, Managing Director, Head of Public Finance Services, dated April 16, 2018

8. Securities Industry and Financial Markets Association: Letter from Leslie M. Norwood, Managing Director and Associate General Counsel, dated April 16, 2018

Notice 2017-22 - Request for Comment
Publication date: | Comment due:
Information for:

Bank Dealers, Dealers, Municipal Advisors

Rule Number:

1. Bond Dealers of America: Letter from Mike Nicholas, Chief Executive Officer, dated February 9, 2018

2. Breena LLC: Email from G. Letti dated November 16, 2017

3. Caine Mitter & Associates Incorporated: Email from Thomas Caine dated February 5, 2018

4. College Savings Foundation: Letter from Richard J. Polimeni, Chairman, dated February 9, 2018

5. Darren Ward: Email dated December 8, 2017

6. Financial Services Institute: Letter from Robin Traxler, Vice President, Regulatory Affairs and Associate General Counsel, dated February 9, 2018

7. Government Finance Officers Association: Letter from Emily Swenson Brock, Director, Federal Liaison Center, dated February 13, 2018

8. Investment Company Institute: Letter from Tamara K. Salmon, Associate General Counsel, dated December 21, 2017

9. National Association of Bond Lawyers: Letter from Alexandra M. MacLennan, President, dated February 23, 2018

10. National Association of Health and Educational Facilities Finance Authorities: Letter from Charles A. Samuels, Counsel for NAHEFFA, dated January 29, 2018

11. National Association of Municipal Advisors: Letter from Susan Gaffney, Executive Director, dated February 9, 2018

12. National Association of State Treasurers and College Savings Plans Network: Letter from Elizabeth Pearce, NAST President and Vermont State Treasurer, and James DiUlio, CSPN Chair and Executive Director, Wisconsin 529 College Savings Program, dated February 9, 2018

13. PFM: Letter from Leo Karwejna, Managing Director and Chief Compliance Officer, dated February 12, 2018

14. Securities Industry and Financial Markets Association: Letter from Leslie M. Norwood, Managing Director and Associate General Counsel, dated January 23, 2018

15. Wells Fargo Advisors: Letter from Robert J. McCarthy, Director of Regulatory Policy, dated February 9, 2018