Select regulatory documents by category:

Regulatory Document Type

Back to top
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