Select regulatory documents by category:
Bank Dealers, Dealers, Municipal Advisors
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