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Notice 2022-07 - Request for Comment
Publication date: | Comment due:
Information for:

Bank Dealers, Dealers, General Public, Investors

Rule Number:

Rule G-14

  1. American Securities Association: Letter from Kelli McMorrow, Head of Government Affairs, dated September 30, 2022

  2. Amuni Financial, Inc.: Letter from Mike Petagna, President, dated August 23, 2022
  3. Bailey, Bill: Email dated August 4. 2022
  4. Bernardi Securities, Inc.: Letter from Ronald P. Bernardi, President and CEO, dated September 30, 2022

  5. Bryant Bank: Letter from David Long, Executive Vice President, Correspondent Banking/Capital Markets, and Vincent Webb, Managing Director, Bryant Bank Capital Markets, dated September 28, 2022

  6. Cantella & Co., Inc.: Email from Jay Lanstein, Chief Executive Officer and Chief Technology Officer, dated September 16, 2022
  7. Cantone Research, Inc.: Email from Maryann Cantone dated August 2, 2022
  8. Colwell, J.D.: Letter dated September 9, 2022
  9. DeRobbio, Raymond: Email dated August 3, 2022
  10. Dimensional Fund Advisors LP: Letter from Gerard O’Reilly, Co-CEO and Chief Investment Officer, and David A. Plecha, Global Head of Fixed Income, dated September 26, 2022

  11. Ford & Associates, Inc.: Letter from Jonathan W. Ford, Senior Vice President, dated September 9, 2022
  12. Hartfield, Titus & Donnelly, LLC: Letter from Edward J. Smith, General Counsel and Chief Compliance Officer, dated September 14, 2022
  13. Higgins Capital Management, Inc.: Email from Deborah Higgins dated September 19, 2022
  14. Honey Badger Investment Securities, LLC: Letter from Joe Lee, CEO, dated September 30, 2022
  15. Investment Planning Group: Email from Darius Lashkari dated August 2, 2022
  16. Isaak Bond Investments: Letter from John Isaak, Sr. Vice President, dated August 16, 2022
  17. ICE Bonds Securities Corporation: Letter from Robert Laorno, General Counsel, dated September 30, 2022
  18. Institutional Securities Corporation: Letter from Scott Hayes, President and CEO, and Chris Neidlinger, CCO, dated September 30, 2022

  19. Kiley Partners, Inc.: Email from Mike Kiley, Owner, dated September 27, 2022
  20. Madison Paige Securities: Letter from Gary Herschitz, CEO, dated September 30, 2022
  21. Mayes, Christopher: Email dated September 27, 2022

  22. Municipal Securities Rulemaking Board: Memorandum dated September 12, 2022
  23. Oberweis Securities, Inc.: Letter from James W. Oberweis, President, dated September 28, 2022

  24. Robert Blum Municipals, Inc.: Letter from Robert Blum, President, dated September 16, 2022
  25. RW Smith & Associates, LLC: Letter from Christopher Ferreri, President, dated September 13, 2022
  26. SAMCO Capital Markets, Inc.: Letter from Lee Maverick, Chief Compliance Officer, dated September 30, 2022
  27. Sanderlin Securities LLC: Letter from Matthew Kamler, President, dated September 27, 2022
  28. Sheedy, Edward: Email dated August 2, 2022
  29. TRADEliance, LLC: Letter from Jesy LeBlanc and Kat Miller dated September 28, 2022

  30. Tuma, William: Email dated August 8, 2022
  31. Wiley Bros.-Aintree Capital, LLC: Letter from Keener Billups, Managing Director, Municipal Bond Department, dated September 20, 2022
  32. Wintrust Investments, LLC: Email from Thomas Kiernan dated August 2, 2022
  33. Zia Corporation: Email from Glenn Burnett dated September 6, 2022