Select regulatory documents by category:
Bank Dealers, Dealers, Municipal Advisors
All Comments to Notice 2018-10
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
All Comments to Notice 2018-09
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
Bank Dealers, Dealers, Municipal Advisors
Bank Dealers, Dealers
Bank Dealers, Dealers
Bank Dealers, Dealers, Municipal Advisors
Municipal Advisors
All Comments to Notice 2018-03
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
Bank Dealers, Dealers, Municipal Advisors
Bank Dealers, Dealers
Bank Dealers, Dealers, Municipal Advisors
Bank Dealers, Dealers, Municipal Fund Securities
Bank Dealers, Dealers, Municipal Advisors
Bank Dealers, Dealers, Municipal Advisors
1. Bond Dealers of America: Letter from Mike Nicholas, Chief Executive Officer, dated February 9, 2018
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
Bank Dealers, Dealers
Municipal Advisors
Municipal Advisors
Municipal Advisors
1. Bond Dealers of America: Letter from Mike Nicholas, Chief Executive Officer, dated November 16, 2017
2. City of San Diego: Letter
3. Global Legal Entity Identifier Foundation: Email from Stephan Wolf dated November 6, 2017
4. Government Finance Officers Association: Letter from Emily Brock, Director, Federal Liaison Center, dated November 27, 2017
5. Michael Paganini: Email dated September 15, 2017
6. National Association of Bond Lawyers: Letter from Alexandra M. MacLennan, President, dated November 17, 2017
7. National Association of Municipal Advisors: Letter from Susan Gaffney, Executive Director, dated November 13, 2017
8. National Federation of Municipal Analysts: Letter from Julie Egan, Chair, and Lisa Washburn, Industry Practices and Procedures Chair, dated November 9, 2017
9. Robert W. Doty: Letter dated November 2, 2017
10. Securities Industry and Financial Markets Association: Letter from Leslie M. Norwood, Managing Director and Associate General Counsel, dated November 15, 2017
11. TMC Bonds: Letter from John S. Craft, Managing Director, dated November 13, 2017
12. Wells Capital Management Incorporated: Letter from Gilbert L. Southwell III, Vice President, dated November 1, 2017
