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Notice 2017-17 - Request for Comment
Publication date: | Comment due:
Information for:

Bank Dealers, Dealers

Rule Number:

Rule G-45

1.  American Funds Distributors, Inc.: Letter from Maria Manotok, Senior Counsel, dated September 21, 2017

2.  Ascensus College Savings: Letter from Sandra Madden, General Counsel, dated September 21, 2017

3.  College Savings Plans Network and College Savings Foundation: Letter from Richard J. Polimeni, Chairman, College Savings Foundation, and Young Boozer, Chairman, College Savings Plans Network, dated September 21, 2017

4.  Investment Company Institute: Letter from Tamara K. Salmon, Senior Associate Counsel, dated September 21, 2017

5.  Securities Industry and Financial Markets Association: Letter from Leslie M. Norwood, Managing Director and Associate General Counsel, and Bernard Canepa, Vice President and Assistant General Counsel, dated September 21, 2017

6.  State of West Virginia: Letter from John D. Perdue, State Treasurer, dated September 18, 2017

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

Notice 2017-05 - Request for Comment
Publication date: | Comment due:
Information for:

Bank Dealers, Dealers, 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 March 31, 2017

2.  American Bankers Association: Letter from Cristeena G. Naser, Vice President and Senior Counsel, Center for Securities, Trust and Investment, dated March 24, 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 March 31, 2017

5.  CUSIP Global Services: Letter from Scott J. Preiss, Managing Director, Global Head, dated March 30, 2017

6.  Dixworks LLC: E-mail from Dennis Dix, Jr., Principal, dated March 29, 2017

7.  First River Advisory LLC: E-mail from Shelley Aronson dated March 22, 2017

8.  George K. Baum & Company: Letter from Guy E. Yandel, EVP and Co-Manager Public Finance, Dana L. Bjornson, EVP, CFO and Chief Compliance Officer, and Andrew F. Sears, EVP and General Counsel, dated March 31, 2017

9.  Government Finance Officers Association: Letter from Emily Brock, Director, Federal Liaison Center, dated March 31, 2017

10.  National Association of Health and Educational Facilities Finance Authorities: Letter from Donna Murr, President, and Martin Walke, Advocacy Committee Chair, dated March 31, 2017

11.  National Association of Municipal Advisors: Letter from Susan Gaffney, Executive Director, dated March 31, 2017

12.  National Federation of Municipal Analysts; Letter from Julie Egan, Chair, and Lisa Washburn, Industry Practices and Procedures Chair, dated March 31, 2017

13.  Opus Bank: E-mail from Dmitry Semenov, Senior Managing Director, Public Finance, dated March 15, 2017

14.  PFM: Letter from Cheryl Maddox, General Counsel, and Leo Karwejna, Chief Compliance Officer, dated March 31, 2017

15.  Phoenix Advisors, LLC: Letter from David B. Thompson, CEO, dated March 21, 2017

16.  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 March 31, 2017

17.  Rudy Salo: E-mail dated March 31, 2017

18.  Securities Industry and Financial Markets Association: Letter from Leslie M. Norwood, Managing Director and Associate General Counsel, dated March 31, 2017

19.  SMA: E-mail from Michael Cawley dated March 21, 2017

20.  State of Florida, Division of Bond Finance: Letter from J. Ben Watkins III, Director, dated April 7, 2017

Notice 2017-04 - Request for Comment
Publication date: | Comment due:
Information for:

Bank Dealers, Dealers, Municipal Advisors

Rule Number:

Rule G-21

1.  Acacia Financial Group, Inc.: Letter from Noreen P. White, Co-President, and Kim M. Whelan, Co-President, dated April 7, 2017

2.  Bond Dealers of America: Letter from Mike Nicholas, Chief Executive Officer, dated March 24, 2017

3.  Fidelity Investments: Letter from Norman L. Ashkenas, Chief Compliance Officer, Fidelity Brokerage Services, LLC, Richard J. O'Brien, Chief Compliance Officer, National Financial Services, LLC, and Jason Linde, Chief Compliance Officer, Fidelity Investments Institutional Services Company, LLC, dated March 24, 2017

4.  Financial Services Institute: Letter from David T. Bellaire, Executive Vice President and General Counsel, dated March 24, 2017

5.  Lewis Young Robertson & Burningham, Inc.: Letter from Laura D. Lewis, Principal, dated March 24, 2017

6.  National Association of Municipal Advisors: Letter from Susan Gaffney, Executive Director, dated March 24, 2017

7.  PFM: Letter from Leo Karwejna, Chief Compliance Officer, Cheryl Maddox, General Counsel, and Catherine Humphrey-Bennett, Municipal Advisory Compliance Officer, dated March 23, 2017

8.  Securities Industry and Financial Markets Association: Letter from Leslie M. Norwood, Managing Director and Associate General Counsel, dated March 24, 2017

9.  Strategic Insight: Letter from Paul Curley, Director of College Savings Research, dated May 16, 2017

10.  Third Party Marketers Association: Letter from Donna DiMaria, Chairman of the Board of Directors and Chair of the 3PM Regulatory Committee, dated March 23, 2017

11.  Wells Fargo Advisors: Letter from Robert J. McCarthy, Director of Regulatory Policy, dated March 24, 2017

Notice 2017-01 - Request for Comment
Publication date: | Comment due:
Information for:

Bank Dealers, Dealers

Rule Number:

Rule G-26

1.  Bond Dealers of America: Letter from Mike Nicholas, Chief Executive Officer, dated February 17, 2017

2.  Michael Paganini: E-mail dated January 6, 2017

3.  Securities Industry and Financial Markets Association: Letter from Leslie M. Norwood, Managing Director and Associate General Counsel, dated February 17, 2017

 

Notice 2016-25 - Request for Comment
Publication date: | Comment due:
Information for:

Bank Dealers, Municipal Advisors

Rule Number:

1.  Bond Dealers of America: Letter from Mike Nicholas, CEO, dated November 10, 2016

2.  Center for Municipal Finance: Letter from Marc D. Joffe dated November 6, 2016

3.  City of New York: Letter from Prescott D. Ulrey, General Counsel, New York City Office of Management and Budget, and Al Rodriguez, Chief, Municipal Finance Division, New York City Law Department, dated November 11, 2016

4.  City of New York, Office of the Comptroller: Letter from Tim Martin, Assistant Comptroller for Public Finance, dated November 11, 2016

5.  Darcy Versions I and II: E-mail from G. Letti dated October 12, 2016

6.  Financial Services Institute: Letter from Robin Traxler, Vice President, Regulatory Affairs and Associate General Counsel, dated November 11, 2016

7.  Government Finance Officers Association: Letter from Emily Swenson Brock, Director, Federal Liaison Center, dated November 10, 2016

8.  Kevin M. Bronner: Letter dated November 11, 2016

9.  Michael Paganini: E-mail dated October 12, 2016

10. National Association of Municipal Advisors: Letter from Susan Gaffney, Executive Director, dated November 14, 2016

11.  National Association of State Treasurers: Letter from Hon. James McIntire, President, dated November 16, 2016

12.  National Federation of Municipal Analysts: Letter from Lisa Washburn, Chair, dated November 10, 2016

13.  Richard Li: E-mail (1) and E-mail (2) dated October 13, 2016

14.  San Francisco International Airport: Letter from Kevin Kone, Managing Director, Finance, dated November 10, 2016

15.  Securities Industry and Financial Markets Association: Letter from Michael Decker, Managing Director, dated November 11, 2016

16.  Sunlight Foundation: Letter from Noel Isama, Policy Associate, dated November 10, 2016

17.  Wells Fargo Advisors, LLC: Letter from Robert J. McCarthy, Director of Regulatory Policy, dated November 11, 2016

Notice 2016-24 - Request for Comment
Publication date: | Comment due:
Information for:

Bank Dealers, Municipal Advisors

Rule Number:

Rule G-3

1.  Breena LLC: E-mail from G. Letti dated September 30, 2016

2.  Castle Advisory Company LLC: E-mail from Garth Schulz dated September 30, 2016

3.  Columbia Capital Management, LLC: Letter from Jeff White, Principal, dated November 11, 2016

4.  Financial Services Institute: Letter from David T. Bellaire, Executive Vice President and General Counsel, dated November 14, 2016

5.  Lamont Financial Services Corporation: Letter from Robert A. Lamb, President, dated October 21, 2016

6.  Lawrence Goldberg: E-mail dated September 30, 2016

7.  National Association of Municipal Advisors: Letter from Susan Gaffney, Executive Director, dated November 14, 2016

8.  PFM Group: Letter from Leo Karwejna, Managing Director and Chief Compliance Officer, dated November 14, 2016

9.  Public Resources Advisory Group: Letter from Marianne F. Edmonds, Senior Managing Director, dated November 14, 2016

10.  Roberts Consulting, LLC: E-mail from Jonathan Roberts dated October 14, 2016

11.  Third Party Marketers Association: Letter from Donna DiMaria, Chairman of the Board of Directors, dated November 17, 2016

Notice 2016-23 - Request for Comment
Publication date: | Comment due:
Information for:

Bank Dealers, Dealers

Rule Number:

Rule G-15

1.  Bond Dealers of America: Letter from Mike Nicholas, Chief Executive Officer, dated October 18, 2016

2.  Darcy Versions I and II: E-mail from G. Letti dated September 27, 2016

3.  Financial Services Institute: Letter from David T. Bellaire, Executive Vice President & General Counsel, dated October 11, 2016

4.  James J. Angel: Letter dated October 22, 2016

5.  National Association of Bond Lawyers: Letter from Clifford M. Gerber, President, dated December 23, 2016

6.  Romano Brothers & Co.: Letter from Eric Bederman, Chief Operating and Compliance Officer, dated October 18, 2016

7.  Securities Industry and Financial Markets Association: Letter from Leslie M. Norwood, Managing Director and Associate General Counsel, dated October 18, 2016

Notice 2016-13 - Request for Comment
Publication date: | Comment due:
Information for:

Bank Dealers, Dealers

Rule Number:

Rule G-15

1.  American Municipal Securities, Inc.: Letter from Michael Petagna, President, dated May 25, 2016

2.  Bond Dealers of America: Letter from Mike Nicholas, Chief Executive Officer, dated May 25, 2016

3.  Breena LLC: E-mail from G. Letti dated April 19, 2016

4.  Center for Municipal Finance: Letter from Marc D. Joffe, President, dated April 7, 2016

5.  Neighborly.com: E-mail from Jase Wilson dated May 25, 2016

6.  Regional Brokers, Inc.: Letter from H. Deane Armstrong, CCO

7.  Securities Industry and Financial Markets Association: Letter from Leslie M. Norwood, Managing Director and Associate General Counsel, dated May 25, 2016

8.  Thomas Kiernan: E-mail dated April 7, 2016

9.  Vista Securities: E-mail from Rick DeLong dated May 9, 2016

10.  Wells Fargo Advisors, LLC: Letter from Robert J. McCarthy, Director of Regulatory Policy, dated May 25, 2016

Notice 2016-11 - Request for Comment
Publication date: | Comment due:
Information for:

Bank Dealers, Dealers, Municipal Advisors

Rule Number:

1.  American Bankers Association: Letter from Cristeena G. Naser, Vice President, Center for Securities, Trust and Investments, dated May 27, 2016

2.  American Governmental Financial Services Company: E-mail from Robert Doty dated May 31, 2016

3.  Bond Dealers of America: Letter from Mike Nicholas, Chief Executive Officer, dated May 27, 2016

4.  Breena LLC: E-mail from G. Letti dated March 28, 2016; and e-mail from G. Letti dated May 1, 2016

5.  Caine Mitter & Associates Incorporated: E-mail from Thomas Caine dated May 27, 2016

6.  Cavanal Hill Investment Management: E-mail from Douglas Benton dated May 2, 2016

7.  Charles Schwab Investment Management: Letter from Marie Chandoha, President and Chief Executive Officer, dated May 27, 2016

8.  Dixworks LLC: E-mail from Dennis Dix, Jr. dated March 29, 2016

9.  George K. Baum & Company: Letter from Guy E. Yandel, Executive Vice President; Dana L. Bjornson, Executive Vice President and Chief Compliance Officer; and Andrew F. Sears, Executive Vice President and General Counsel; dated May 26, 2016

10.  Government Finance Officers Association: Letter from Emily Brock, Director, Federal Liaison Center, dated May 27, 2016

11.  Investment Company Institute: Letter from Dorothy Donohue, Deputy General Counsel - Securities Regulation, dated May 27, 2016

12.  Kane, McKenna Capital, Inc.: Letter from Philip R. McKenna, President, dated April 7, 2016

13.  Lawrence Financial Consulting LLC: E-mail from Tom Lawrence dated March 30, 2016; and letter from Tom Lawrence, President, dated May 2, 2016

14.  Lewis Young Robertson & Burningham: Letter from Laura D. Lewis, Principal, dated May 26, 2016

15.  National Association of Bond Lawyers: Letter from Kenneth R. Artin, President, dated May 27, 2016

16.  National Association of Health and Educational Facilities Finance Authorities: Letter from Donna Murr, President; Martin Walke, Advocacy Committee Chairman; and Charles Samuels, General Counsel; dated May 26, 2016

17.  National Association of Municipal Advisors: Letter from Terri Heaton, President, dated May 26, 2016

18.  National Association of State Treasurers: Letter

19.  National Federation of Municipal Analysts: Letter from Lisa Washburn, Chair, dated May 23, 2016

20.  Public Financial Management, Inc,: Letter from Leo Karwejna, Chief Compliance Officer, and Cheryl Maddox, General Counsel, dated May 26, 2016

21.  Public Resources Advisory Group: Letter from Marianne F. Edmonds, Senior Managing Director, dated May 27, 2016

22.  Securities Industry and Financial Markets Association: Letter from Leslie M. Norwood, Managing Director and Associate General Counsel, dated May 26, 2016

23.  Securities Industry and Financial Markets Association, Asset Management Group: Letter from Timothy W. Cameron, Asset Management Group - Head, and Lindsey W. Keljo, Vice President and Assistant General Counsel, Asset Management Group, dated May 27, 2016

24.  State of Florida, Division of Bond Finance: Letter from J. Ben Watkins III, Director, dated May 27, 2016

25.  Sycamore Advisors, LLC: E-mail from Courtney Tobin dated June 8, 2016

26.  Thomson Reuters: Letter from Michael C. Demas, Head, Municipal Evaluations, dated May 27, 2016

27.  Wake County, North Carolina: Letter from Nicole Kreiser, Debt Manager, dated May 26, 2016

28.  WM Financial Strategies: Letter from Joy A. Howard, Principal, dated May 27, 2016

29.  Wulff, Hansen & Co.: Letter from Chris Charles, President

30.  Zions Bank: Letter from James G. Livingston, Senior Vice President, dated May 25, 2016

   

Notice 2016-07 - Request for Comment
Publication date: | Comment due:
Information for:

Bank Dealers, Dealers

Rule Number:

Rule G-30

1.  Bond Dealers of America: Letter from Michael Nicholas, Chief Executive Officer, dated March 31, 2016

2.  Breena LLC: E-mail from G. Lettieri dated February 23, 2016; and e-mail from G. Lettieri dated March 10, 2016

3.  Brian Shaw: Letter dated March 28, 2016

4.  Herbert Murez: E-mail dated March 28, 2016

5.  Markit: Letter from Marcus Schuler, Head of Regulatory Affairs, dated March 31, 2016

6.  Office of the Investor Advocate, U.S. Securities and Exchange Commission: Letter from Rick A. Fleming, Investor Advocate, dated March 31, 2016

7.  Securities Industry and Financial Markets Association: Letter from Leslie M. Norwood, Managing Director and Associate General Counsel, Municipal Securities Division, and Sean Davy, Managing Director, Capital Markets Division, dated March 31, 2016

8.  State of Florida, Division of Bond Finance: Letter from J. Ben Watkins III, Director, dated March 31, 2016

9.  Thomson Reuters: Letter from Manisha Kimmel, Chief Regulatory Officer, Wealth Management, dated March 31, 2016

Notice 2016-02 - Request for Comment
Publication date: | Comment due:
Information for:

Bank Dealers, Dealers

Rule Number:

Rule G-12

1.  Bond Dealers of America: Letter from Mike Nicholas, Chief Executive Officer, dated March 4, 2016

2.  Breena LLC: E-mail from Geraldine Lettieri dated January 6, 2016

3.  National Securities Clearing Corporation: Letter from Murray C. Pozmanter, Managing Director, dated January 12, 2016

4.  Securities Industry and Financial Markets Association: Letter from Leslie M. Norwood, Managing Director and Associate General Counsel, dated March 6, 2016

Notice 2015-22 - Request for Comment
Publication date: | Comment due:
Information for:

Bank Dealers, Dealers, Municipal Advisors

Rule Number:

Rule G-12, Rule G-15

1.  Bernardi Securities, Inc.: Letter from Eric Bederman, SVP, Chief Operating & Compliance Officer, dated November 17, 2015

2.  Bond Dealers of America: Letter from Michael Nicholas, Chief Executive Officer, dated December 10, 2015

3.  Brandis Tallman LLC: Letter from Richard Brandis

4.  Castle Advisory Company: E-mail from Garth Schulz dated November 10, 2015

5.  Coastal Securities: E-mail from Chris Melton, Executive Vice President, dated December 10, 2015

6.  Financial Services Institute: Letter from David T. Bellaire, Executive Vice President & General Counsel, dated December 10, 2015

7.  Geraldine Lettieri: E-mail dated November 10, 2015

8.  Investment Company Institute: Letter from Martin A. Burns, Chief Industry Operations Officer, dated December 1, 2015

9.  Securities Industry and Financial Markets Association: Letter from Leslie M. Norwood, Managing Director and Associate General Counsel, dated December 10, 2015

 

Notice 2015-18 - Request for Comment
Publication date: | Comment due:
Information for:

Bank Dealers, Dealers, Municipal Advisors

Rule Number:

Rule A-3

1.  Bond Dealers of America: Letter from Michael Nicholas, Chief Executive Officer, dated November 19, 2015

2.  National Association of Municipal Advisors: Letter from Terri Heaton, President, dated November 19, 2015

3.  Office of the Investor Advocate, U.S. Securities and Exchange Commission: Letter from Rick A. Fleming, Investor Advocate, dated October 29, 2015

4.  Securities Industry Financial Markets Association: Letter from Michael Decker, Managing Director, dated November 19, 2015

5.  Stephen Heaney: E-mail dated November 10, 2015

Notice 2015-16 - Request for Comment
Publication date: | Comment due:
Information for:

Bank Dealers, Dealers

Rule Number:

Rule G-15

1.  Aaron Botbyl: E-mail dated October 9, 2015

2.  Bernardi Securities, Inc.: Letter from Eric Bederman, SVP, Chief Operating & Compliance Officer, dated December 4, 2015

3.  Bond Dealers of America: Letter from Michael Nicholas, Chief Executive Officer, dated December 11, 2015

4.  CFA Institute: Letter from Kurt N. Schacht, Managing Director, Standards and Financial Market Integrity, and Linda L. Rittenhouse, Director, Capital Markets Policy, dated December 11, 2015

5.  Charles Schwab & Co. Inc.: Letter from Jason Clague, Senior Vice President, Trading & Middle Office Services, dated December 11, 2015

6.  Chris Melton: E-mail dated October 30, 2015

7.  Christopher [last name withheld]: E-mail dated September 25, 2015

8.  Consumer Federation of America: Letter from Micah Hauptman, Financial Services Counsel, dated December 11, 2015

9.  Diamant Investment Corporation: Letter from Herbert Diamant, President, dated November 30, 2015

10.  Fidelity Investments: Letter from Norman L. Ashkenas, Chief Compliance Officer, Fidelity Brokerage Services, LLC, and Richard J. O'Brien, Chief Compliance Officer, National Financial Services, LLC, dated December 11, 2015

11.  Financial Information Forum: Letter from Darren Wasney, Program Manager, dated December 11, 2015

12.  Financial Services Institute: Letter from David T. Bellaire, Executive Vice President & General Counsel, dated December 11, 2015

13.  Gerald Heilpern: Letter 

14.  Jonathan Bricker: E-mail dated October 20, 2015

15.  LPL Financial LLC: Letter from David P. Bergers, General Counsel, dated December 10, 2015

16.  Morgan Stanley Smith Barney LLC: Letter from Elizabeth Dennis, Managing Director, dated December 11, 2015

17.  Office of the Investor Advocate, U.S. Securities and Exchange Commission: Letter from Rick A. Fleming, Investor Advocate, dated December 11, 2015

18.  Patrick Luby: Letter dated December 11, 2015

19.  Public Investors Arbitration Bar Association: Letter from Hugh D. Berkson, President, dated December 8, 2015

20.  RBC Capital Markets, LLC: Letter from David L. Cohen, Senior Counsel and Director, dated December 15, 2015

21.  RW Smith & Associates, LLC: Letter from Paige W. Pierce, President & CEO, dated December 11, 2015

22.  Securities Industry and Financial Markets Association: Letter from Sean Davy, Managing Director, Capital Markets Division, and Leslie M. Norwood, Managing Director & Associate General Counsel, Municipal Securities Division, dated December 11, 2015

23.  Thomson Reuters: Letter from Manisha Kimmel, Chief Regulatory Officer, Wealth Management, dated December 11, 2015

24.  TMC Bonds, LLC: Letter from Thomas S. Vales, Chief Executive Officer, dated December 11, 2015

25.  Wells Fargo Advisors, LLC: Letter from Robert J. McCarthy, Director of Regulatory Policy, dated December 11, 2015

Notice 2015-10 - Request for Comment
Publication date: | Comment due:
Information for:

Bank Dealers, Dealers, Municipal Advisors

Rule Number:

1.  American Governmental Financial Services: E-mail from Robert Doty dated August 24, 2015

2,  Andrew Glassberg: E-mail dated August 17, 2015

3.  Association for Budgeting and Financial Management: Letter from Robert Kravchuk, Chair, et al., dated September 13, 2015

4.  Bond Dealers of America: Letter from Michael Nicholas, Chief Executive Officer, dated August 24, 2015

5.  Brandeis University: Letter from Daniel Bergstresser, Associate Professor of Finance, dated September 14, 2015

6.  Coastal Securities: E-mail from Chris Melton, Executive Vice President, dated August 5, 2015

7.  George Mason University: Letter from Jonathan L. Gifford, Professor and Director of Center for Transportation P3 Policy, dated September 1, 2015

8.  John Mousseau: E-mail dated July 29, 2015

9.  Larry Harris: Letter dated September 6, 2015

10.  New York University: Letter from Norman White, Clinical Professor, et al., dated September 16, 2015

11.  Pennsylvania State University: Letter from Patrick J. Cusatis, Associate Professor of Finance, dated September 10, 2015

12.  Securities Industry and Financial Markets Association: Letter from Sean Davy, Managing Director, Capital Markets Division, and David L. Cohen, Managing Director and Associate General Counsel, Municipal Securities Division, dated September 11, 2015

13.  University of Louisville: Letter from James R. Ramsey, President, dated September 4, 2015

Notice 2015-08 - Request for Comment
Publication date: | Comment due:
Information for:

Bank Dealers, Dealers, Municipal Advisors

Rule Number:

Rule A-3

1.  Americans for Financial Reform; American Federation of State, County and Municipal Employees; and Consumer Federation of America: Letter dated July 13, 2015

2.  Government Finance Officers Association: Letter from Dustin McDonald, Director, Federal Liaison Center, dated July 20, 2015

3.  Investment Company Institute: Letter from Dorothy Donohue, Deputy General Counsel--Securities Regulation, dated July 13, 2015

4.  Jay M. Goldstone: Letter dated July 10, 2015

5.  Jerry Gold: Letter dated July 17, 2015

6.  Lamont Financial Services Corporation: Letter from Bob Lamb, President, dated July 7, 2015

7.  Loews Corporation: Letter from Mark G. Muller dated July 1, 2015

8.  National Association of Municipal Advisors: Letter from Terri Heaton, President, dated July 13, 2015

9.  National Federation of Municipal Analysts: Letter from Lisa S. Good, Executive Director, dated July 13, 2015

10.  Office of the Investor Advocate, U.S. Securities and Exchange Commission: Letter from Rick A. Fleming, Investor Advocate, dated July 13, 2015

11.  Robert E. Rutkowski: E-mail dated July 13, 2015

12.  Robert Zubak: Letter dated July 6, 2015

13.  Samson Capital Advisors: Letter from Benjamin S. Thompson, Managing Principal and Chief Executive Officer, dated July 7, 2015

14.  Securities Industry and Financial Markets Association: Letter from Michael Decker, Managing Director, dated July 13, 2015

15.  Wells Capital Management Incorporated: Letter from Gilbert L. Southwell III, Vice President, dated July 8, 2015

Notice 2014-20 - Request for Comment
Publication date: | Comment due:
Information for:

Bank Dealers, Dealers, Municipal Advisors

Rule Number:

Rule G-15

 

1.  Bernardi Securities: Letter from Eric Bederman, Chief Operating and Compliance Officer, dated December 26, 2014

2.  Bond Dealers of America: Letter from Michael Nicholas, Chief Executive Officer, dated January 20, 2015

3.  Coastal Securities: Letter from Chris Melton, Executive Vice President, dated January 16, 2015

4.  Consumer Federation of America: Letter from Micah Hauptman, Financial Services Counsel, dated January 20, 2015

5.  DelphX LLC: Letter from Larry E. Fondren, President and CEO, dated January 7, 2015

6.  Diamant Investment Corporation: Letter from Herbert Diamant, President, dated January 9, 2015

7.  Fidelity Investments: Letter from Norman L. Ashkenas, Chief Compliance Officer, Fidelity Brokerage Services, LLC, and Richard J. O'Brien, Chief Compliance Officer, National Financial Services, LLC, dated January 20, 2015

8.  Financial Information Forum: Letter from Darren Wasney, Program Manager, dated January 20, 2015

9.  Financial Services Institute: Letter from David T. Bellaire, Executive Vice President and General Counsel, dated January 20, 2015

10.  Financial Services Roundtable: Letter from Rich Foster, Vice President and Senior Counsel for Regulatory and Legal Affairs, dated January 20, 2015

11.  Gerald Heilpern: E-mail dated December 9, 2014

12.  Gerald Heilpern: E-mail dated December 18, 2014

13.  Gerald Heilpern: E-mail dated January 8, 2015

14.  Hilliard Lyons: Letter from Alexander I. Rorke, Senior Managing Director, Municipal Securities Group, dated January 20, 2015

15.  Hutchinson Shockey Erley & Co.: Letter from Thomas E. Dannenberg, President and CEO, dated January 20, 2015

16.  Interactive Data: Letter from Andrew Hausman, President, Pricing and Reference Data, dated January 20, 2015

17.  John Smith: E-mail dated December 10, 2014

18.  Jorge Rosso: E-mail dated November 24, 2014

19.  Karin Tex: Letter dated January 12, 2015

20.  McLiney And Company: Email from George J. McLiney, Jr. dated December 22, 2014

21.  Morgan Stanley Smith Barney LLC: Letter from Vincent Lumia, Managing Director, dated January 20, 2015

22.  Nathan Hale Capital, LLC: Letter from Peter G. Brandel, Senior Vice President, Municipal Bond Trading, and Kenneth T. Kerr, Senior Vice President, Municipal Bond Trading, dated January 20, 2015

23.  Office of the Investor Advocate, U.S. Securities and Exchange Commission: Letter from Rick A. Fleming, Investor Advocate, dated January 20, 2015

24.  Private Citizen: E-mail dated November 23, 2014

25.  R. Seelaus & Co., Inc.: Letter from Richard Seelaus dated January 8, 2015

26.  RW Smith & Associates, LLC: E-mail from Paige Pierce dated January 21, 2015

27.  Securities Industry and Financial Markets Association: Letter from Sean Davy, Managing Director, Capital Markets Division, and David L. Cohen, Managing Director and Associate General Counsel, Municipal Securities Division, dated January 20, 2015

28.  Standard & Poor's Securities Evaluations, Inc.: Letter from Gregory Carlin, Vice President, dated January 20, 2015

29.  Thomson Reuters: Letter from Kyle C. Wootten, Deputy Director - Compliance and Regulatory, dated January 16, 2015

30.  Wells Fargo Advisors, LLC: Letter from Robert J. McCarthy, Director of Regulatory Policy, dated January 20, 2015

Notice 2014-18 - Request for Comment
Publication date: | Comment due:
Information for:

Bank Dealers, Dealers, Municipal Advisors


1.  Anonymous: Letter

2.  Bond Dealers of America: Letter from Michael Nicholas, Chief Executive Officer, dated December 8, 2014

3.  Chris Taylor: E-mail dated October 23, 2014

4.  FCS Group: E-mail from Taree Bollinger dated October 24, 2014

5.  Investment Company Institute: Letter from Tamara K. Salmon, Senior Associate Counsel, dated December 5, 2014

6.  National Association of Municipal Advisors: Letter from Terri Heaton, President, dated December 8, 2014

7.  PFM Group: Letter from Joseph J. Connolly, Counsel, dated November 7, 2014

8.  Securities Industry and Financial Markets Association: Letter from Leslie M. Norwood, Managing Director and Associate General Counsel, dated December 8, 2014

Notice 2014-16 - 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 October 23, 2014

2.  Financial Services Institute: Letter from David T. Bellaire, Executive Vice President and General Counsel, dated October 23, 2014

3.  Government Finance Officers Association: Letter from Dustin McDonald, Director, Federal Liaison Center, dated October 23, 2014

4.  Kevin M. Bronner: Letter dated September 27, 2014

5.  Office of the Investor Advocate, United States Securities and Exchange Commission: Letter from Rick A. Fleming, Investor Advocate, dated October 31, 2014

6.  PRISM Municipal Advisors: E-mail from Bradford Sprague dated September 8, 2014

7.  Public Financial Management, Inc.: Letter from John H. Bonow, Chief Executive Officer, dated October 31, 2014

8.  Securities Industry and Financial Markets Association: Letter from David L. Cohen, Managing Director and Associate General Counsel, dated October 23, 2014

Notice 2014-15 - Request for Comment
Publication date: | Comment due:
Information for:

Bank Dealers, Dealers, Municipal Advisors


1.  American Council of Engineering Companies: Letter from David A. Raymond, President and CEO, dated October 1, 2014

2.  Anonymous: E-mail dated October 1, 2014

3.  Bond Dealers of America: Letter from Michael Nicholas, Chief Executive Officer, dated October 1, 2014

4.  Bond Dealers of America: Letter from Michael Nicholas, Chief Executive Officer, dated October 8, 2014

5.  Caplin & Drysdale: Letter from Trevor Potter and Matthew T. Sanderson dated September 30, 2014

6.  Castle Advisory Company LLC: E-mail from Stephen Schulz dated August 18, 2014.

7.  Center for Competitive Politics: Letter from Allen Dickerson, Legal Director, dated October 1, 2014

8.  Dave A. Sanchez: Letter dated November 5, 2014

9.  Hardy Callcott: E-mail dated September 9, 2014

10.  National Association of Independent Public Finance Advisors: Letter from Jeanine Rodgers Caruso, President, dated October 1, 2014

11.  Public Citizen, et. al.: Letter dated October 1, 2014 from Bartlett Naylor, Financial Policy Advocate, and Craig Holman, Government Affairs Lobbyist, Public Citizen; Ron Fein, Legal Director, Free Speech for People; John Harrington, President, Harrington Investments, Inc.; New Progressive Alliance; American Federation of State, County and Municipal Employees; ReFund America Project at the Roosevelt Institute; U.S. PIRG; Consumer Federation of America; and Americans for Financial Reform

12.  Securities Industry and Financial Markets Association: Letter from Leslie M. Norwood, Managing Director and Associate General Counsel, dated September 30, 2014

13.  WM Financial Strategies: Letter from Joy A. Howard, Principal, dated October 1, 2014

 

Notice 2014-14 - Request for Comment
Publication date: | Comment due:
Information for:

Bank Dealers, Dealers

Rule Number:

Rule G-14


1.  Bond Dealers of America: Letter from Michael Nicholas, Chief Executive Officer, dated September 26, 2014

2   Financial Information Forum: Letter from Darren Wasney, Program Manager, dated September 19, 2014

3.  Herbert Murez: E-mail dated August 13, 2014

4.  Income Securities Advisor Inc.: E-mail from Richard Lehmann dated August 26, 2014

5.  Loren Trigo: E-mail dated August 13, 2014

6.  RW Smith & Associates, LLC: E-mail from Paige W. Pierce, President and Chief Executive Officer, dated September 26, 2014 

7.  Securities Industry and Financial Markets Association: Letter from Leslie M. Norwood, Managing Director and Associate General Counsel, dated September 25, 2014

 

Notice 2014-12 - Request for Comment
Publication date: | Comment due:
Information for:

Municipal Advisors

Rule Number:

Rule G-8, Rule G-9

1.  American Bankers Association: Letter from Cristeena Naser, Vice President, Center for Securities, Trust & Investments, dated August 25, 2014

2.  American Council of Engineering Companies: Letter from David A. Raymond, President and CEO, dated August 25, 2014

3.  Bart Leary: E-mail dated July 23, 2014

4.  Bond Dealers of America: Letter from Michael Nicholas, Chief Executive Officer, dated August 25, 2014

5.  Columbia Capital Management, LLC: Letter from Jeff White, Principal, dated August 25, 2014

6.  Dave A. Sanchez: Letter dated August 25, 2014

7.  Financial Services Roundtable: Letter from Richard Foster, Vice President and Senior Counsel for Regulatory and Legal Affairs, dated August 25, 2014

8.  Florida Division of Bond Finance: Letter from J. Ben Watkins III, Director, dated August 22, 2014

9.  Government Finance Officers Association: Letter from Dustin McDonald, Director, Federal Liaison Center, dated September 2, 2014

10.  Investment Company Institute: Letter from Tamara K. Salmon, Senior Associate Counsel, dated August 19, 2014

11.  Lewis Young Robertson & Burningham, Inc.: Letter from Laura D. Lewis, Principal, dated August 25, 2014

12.  National Association of Independent Public Finance Advisors: Letter from Jeanine Rodgers Caruso, President, dated August 25, 2014

13.  New York State Bar Association, Business Law Section, Securities Regulation Committee: Letter from Peter W. LaVigne, Chair of the Committee, dated August 27, 2014

14.  Piper Jaffray: Letter from Frank Fairman, Managing Director, Head of Public Finance Services, dated August 25, 2014

15.  Securities Industry and Financial Markets Association: Letter from Leslie M. Norwood, Managing Director and Associate General Counsel, dated August 25, 2014

16.  Southern Municipal Advisors, Inc.: Letter from Michael C. Cawley, Senior Consultant, dated August 25, 2014

17.  Wells Fargo Advisors, LLC: Letter from Robert J. McCarthy, Director of Regulatory Policy, dated August 25, 2014

18.  WM Financial Strategies: Letter from Joy A. Howard, Principal, dated August 25, 2014

19.  Zions First National Bank: Letter from W. David Hemingway, Executive Vice President, dated August 25, 2014

 

Notice 2014-08 - Request for Comment
Publication date: | Comment due:
Information for:

Bank Dealers, Dealers, Municipal Advisors


1.  Arrow Partners: Letter from Steven Rubenstein dated May 16, 2014

2.  Association of Registration Management: Letter from Michele Van Tassel, President, dated May 16, 2014

3.  Bond Dealers of America: Letter from Michael Nicholas, Chief Executive Officer, dated May 16, 2014

4.  Cedar Partners Ltd: Letter from Christy Ping, Director/Chief Compliance Officer, dated May 16, 2014

5.  Central States Capital Markets: E-mail from Mark Detter dated April 17, 2014

6.  CFA Institute: Letter from Inigo Bengoechea, Director, and Dan Larocco, Manager, dated April 25, 2014

7.  Compass Securities Corporation: Letter from John R. Ahern, President

8.  Dixworks LLC: E-mail from Dennis Dix, Jr. dated April 11, 2014

9.  Fitzgibbon Toigo Associates, LLC: E-mail from Brian X. Fitzgibbon dated May 16, 2014

10.  Fortress Group, Inc.: Letter from Bruce A. Williamson, Managing Director and Chief Compliance Officer, dated May 16, 2014

11.  Frank Taylor: E-mail dated March 19, 2014

12.  George K. Baum & Company: Letter from Guy E. Yandel, EVP Public Finance, Dana L. Bjornson, EVP and Chief Compliance Officer, and Andrew F. Sears, SVP and General Counsel, dated May 16, 2014

13.  Government Credit Corporation: E-mail from Joseph Mooney dated March 18, 2014

14.  Hamersley Partners, LLC: Letter from Andrew Phillips, Principal and CCO, dated May 16, 2014

15.  IMMS LLC: E-mail from John Daly dated May 16, 2014

16.  Investment Company Institute: Letter from Tamara K. Salmon, Senior Associate Counsel, dated May 8, 2014

17.  Jorge Rosso: E-mail dated April 3, 2014

18.  Monahan & Roth, LLC: Letter from Lisa Roth, President, dated May 16, 2014

19.  MVision Private Equity Advisers USA LLC: Letter from Victoria Sherliker, General Counsel, dated May 16, 2014

20.  National Association of Independent Public Finance Advisors: Letter from Jeanine Rodgers Caruso, President, dated May 16, 2014

21.  New Albany Capital Partners, LLC: Letter from Rick Wayman dated May 14, 2014

22.  Oyster River Capital LP: Letter from Richard A. Murphy dated May 16, 2014

23.  Perkins Fund Marketing LLC: Letter from Gilman C. Perkins, Principal and Managing Member, dated May 16, 2014

24.  Raftelis Financial Consultants, Inc.: Letter from Alexis F. Warmath, Vice President, and Christopher P.N. Woodcock, President, Woodcock & Associates, Inc., dated May 16, 2014

25.  Securities Industry and Financial Markets Association: Letter from Leslie M. Norwood, Managing Director and Associate General Counsel, dated May 16, 2014

26.  Sonja Sullivan: E-mail dated May 16, 2014

27.  Stacy Havener: E-mail dated May 16, 2014

28.  Stonehaven: Letter from Steven Jafarzadeh, Managing Director and Partner, dated May 16, 2014

29.  Tessera Capital Partners: Letter from Donna DiMaria, CEO/CCO, dated May 16, 2014

30.  Third Party Marketers Association: Letter from Donna DiMaria, Chairman of the Board of Directors, dated May 16, 2014

31. Tibor Partners Inc.: E-mail from William Johnston dated March 18, 2014

32. Timothy D. Wasson: Letter

33.  Yuba Group: Letter from Linda Fan, Managing Partner, dated April 28, 2014

34.  Zions First National Bank: Letter from W. David Hemingway, Executive Vice President, dated May 16, 2014

35.  Zions First National Bank: Letter from James G. Livingston, Senior Vice President, dated May 16, 2014

Notice 2014-04 - Request for Comment
Publication date: | Comment due:
Information for:

Municipal Advisors

Rule Number:

Rule G-8, Rule G-9


1.  American Bankers Association: Letter from Cristeena G. Naser, Vice President and Senior Counsel, dated May 1, 2014

2.  Bond Dealers of America: Letter from Michael Nicholas, Chief Executive Officer, dated April 28, 2014

3.  Edwin C. Blitz Investments, Inc.: E-mail from Edwin Blitz dated March 18, 2014

4.  Investment Company Institute: Letter from Tamara K. Salmon, Senior Associate Counsel, dated April 15, 2014

5.  LIATI Group, LLC: E-mail from Weldon Fleming dated March 10, 2014

6.  MSA Professional Services, Inc.: Letter from Gilbert A. Hantzsch, Chief Executive Officer, dated April 28, 2014

7.  National Association of Independent Public Finance Advisors: Letter from Jeanine Rodgers Caruso, President, dated April 28, 2014

8.  Raftelis Financial Consultants, Inc.: Letter from Alexis F. Warmath, Vice President, and Christopher P.N. Woodcock, President, Woodcock & Associates, Inc., dated April 28, 2014

9.  Roberts Consulting, LLC: E-mail from Jonathan Roberts dated March 13, 2014

10.  Securities Industry and Financial Markets Association: Letter from David L. Cohen, Managing Director, Associate General Counsel, dated April 25, 2014

11.  Tibor Partners Inc.: E-mail from William Johnston dated February 25, 2014

12.  Yuba Group: Letter from Linda Fan, Managing Partner, dated April 28, 2014