All Comments to Notice 2021-07

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

All Comments to Notice 2021-06

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

All Comments to Notice 2020-19

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

All Comments to Notice 2020-02

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

All Comments to Notice 2019-13

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

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

All Comments to Notice 2019-01

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

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

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

All Comments to Notice 2018-22

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

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

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

All Comments to Notice 2018-19

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