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Notice 2012-51 - Informational Notice
Publication date:
Notice 2012-50 - Request for Comment
Publication date: | Comment due:
Information for:

Bank Dealers, Dealers, Municipal Advisors


1.  Bond Dealers of America: Letter from Michael Nicholas, Chief Executive Officer, dated November 2, 2012

2.  Dorsey & Company, Inc.: Letter from Steven Rueb, Vice President, dated November 14, 2012

3.  Edward D. Jones & Co., L.P.: Letter from David Fischer-Lodike, Capital Markets & Operations Compliance, dated November 2, 2012

4.  Financial Planning Association: Letter from David A. Cohen, Assistant Director - Government Relations, dated November 2, 2012

5.  Government Finance Officers Association: Letter from Susan Gaffney, Director, Federal Liaison Center, dated November 5, 2012

6.  Investment Company Institute: Letter from Dorothy Donohue, Deputy General Counsel - Securities Regulation, dated November 2, 2012

7.  National Association of Independent Public Finance Advisors: Letter from Jeanine Rodgers Caruso, President, dated November 2, 2012

8.  Rhode Island Health and Educational Building Corporation: Letter from Robert E. Donovan, Executive Director, dated October 15, 2012

9.  Securities Industry and Financial Markets Association: Letter from David L. Cohen, Managing Director, Associate General Counsel, dated November 2, 2012

10.  Vanguard: Letter from Christopher Alwine, Head of Municipal Bond Group, dated November 2, 2012

Notice 2012-49 - Informational Notice
Publication date:
Information for:

Bank Dealers, Dealers

Compliance Resource
Publication date:
Notice 2012-48 - Informational Notice
Publication date:
Notice 2012-47 - Informational Notice
Publication date:
Notice 2012-46 - Informational Notice
Publication date:
Notice 2012-45 - Informational Notice
Publication date:
Notice 2012-44 - Informational Notice
Publication date:
Notice 2012-43 - Request for Comment
Publication date: | Comment due:
Information for:

Bank Dealers, Dealers

Rule Number:

Rule G-8, Rule G-37


1.  Barclays: Letter from Robert Taylor, Managing Director, Head of Municipal Finance, dated September 17, 2012

2.  California Association of County Treasurers and Tax Collectors: Letter from Wayne Hammar, President, dated September 13, 2012

3.  Center for Competitive Politics: Letter from Allen Dickerson, Legal Director, dated September 17, 2012

4.  Government Financial Strategies Inc.: Letter from Robert W. Doty, General Counsel, dated September 17, 2012

5.  Magis Advisors: Letter from Timothy J. Schaefer, President/Principal Owner, dated September 14, 2012

6.  Morgan Stanley: Letter from Stratford Shields, Managing Director, dated September 17, 2012

7.  National Association of Independent Public Finance Advisors: Letter from Colette J. Irwin-Knott, President, dated September 17, 2012

8.  Securities Industry and Financial Markets Association: Letter from Leslie M. Norwood, Managing Director and Associate General Counsel, dated September 17, 2012

Notice 2012-42 - Informational Notice
Publication date:
Notice 2012-41 - Request for Comment
Publication date: | Comment due:
Information for:

Bank Dealers, Dealers


1.  Bond Dealers of America: Letter from Michael Nicholas, Chief Executive Officer, dated September 21, 2012

2.  Charles Schwab & Co. Inc.: Letter from Bari Havlik, Senior Vice President and Chief Compliance Officer, dated September 21, 2012

3.  Cooley, Bruce: Letter

4.  Fidelity Investments: Letter from David A. Forman, Vice President and General Counsel, dated September 21, 2012

5.  Investment Company Institute: Letter from Tamara K. Salmon, Senior Associate Counsel, dated September 21, 2012

6.  Securities Industry and Financial Markets Association: Letter from David L. Cohen, Managing Director and Associate General Counsel, dated September 21, 2012

7.  TD Ameritrade, Inc.: Letter from John S. Markle, Deputy General Counsel, dated September 26, 2012

8.  Wells Fargo Advisors: Letter from Ronald C. Long, Director of Regulatory Affairs, dated September 21, 2012

Notice 2012-40 - Request for Comment
Publication date: | Comment due:
Information for:

Bank Dealers, Dealers, Municipal Fund Securities


1.  College Savings Plans Network and College Savings Foundation: Letter from Hon. Michael L. Fitzgerald, Treasurer of Iowa and Chairman, College Savings Plans Network, and Roger Michaud, Chairman, College Savings Foundation, dated September 14, 2012

2.  College Savings Plans of Maryland: Letter from Joan Marshall, Executive Director, dated September 14, 2012

3.  Financial Research Corporation: Letter dated August 29, 2012

4.  Investment Company Institute: Letter from Tamara K. Salmon, Senior Associate Counsel, dated September 14, 2012

5.  Securities Industry and Financial Markets Association: Letter from David L. Cohen, Managing Director and Associate General Counsel, dated September 14, 2012

6.  Sutherland Asbill & Brennan LLP: Letter from Michael Koffler, dated September 14, 2012

7.  Utah Educational Savings Plan: Letter from Lynne N. Ward, Executive Director, dated September 14, 2012

Notice 2012-39 - Informational Notice
Publication date:
Notice 2012-38 - Informational Notice
Publication date:
Notice 2012-36 - Request for Comment
Publication date: | Comment due:
Information for:

Bank Dealers, Dealers

Rule Number:

Rule G-11


1.  Investment Company Institute: Letter from Dorothy Donohue, Deputy General Counsel - Securities Regulation, dated August 10, 2012

2.  Municipal Electric Authority of Georgia: Letter from James E. Fuller, Senior Vice President and Chief Financial Officer, dated August 13, 2012

3.  National Association of Independent Public Finance Advisors: Letter from Colette J. Irwin-Knott, President, dated August 13, 2012

4.  National Federation of Municipal Analysts: Letter from Lisa Good, Executive Director, dated July 30, 2012

5.  New York City Municipal Water Finance Authority: Letter from Thomas G. Paolicelli, Executive Director, dated July 24, 2012

6.  Nuveen Asset Management: Letter from Cadmus Hicks, Managing Director, dated August 7, 2012

7.  Rhode Island Health and Educational Building Corporation: Letter from Robert E. Donovan, Executive Director, dated July 24, 2012

8.  Securities Industry and Financial Markets Association: Letter from Leslie M. Norwood, Managing Director and Associate General Counsel, dated August 13, 2012

9.  Standish Mellon Asset Management: E-mail from David Belton dated August 9, 2012

Notice 2012-35 - Informational Notice
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Notice 2012-33 - Informational Notice
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Notice 2012-32 - Informational Notice
Publication date:
Notice 2012-29 - Request for Comment
Publication date: | Comment due:


1.  Benchmark Solutions: Letter from Jim Toffey, Chief Executive Officer, dated June 7, 2012

2.  Bond Dealers of America: Letter from Michael Nicholas, Chief Executive Officer, dated July 2, 2012

3.  Government Finance Officers Association: Letter from Susan Gaffney, Director, Federal Liaison Center, dated July 2, 2012

4.  Investment Company Institute: Letter from Dorothy Donohue, Deputy General Counsel-Securities Regulation, dated June 29, 2012

5.  Securities Industry and Financial Markets Association: Letter from Michael Decker, Managing Director and Co-Head of Municipal Securities, dated June 29, 2012

6.  Stifel Nicolaus & Company, Incorporated: Letter from Kenneth E. Williams, Executive Vice-President, Director of Municipal Finance Group, dated June 27, 2012

Notice 2012-28 - Request for Comment
Publication date: | Comment due:


1.  American Bankers Association and ABA Securities Association: Letter from Cristeena G. Naser, Associate General Counsel, dated August 16, 2012

2.  Bond Dealers of America: Letter from Michael Nicholas, Chief Executive Officer, dated July 30, 2012

3.  Bondview.com, LLC: Letter from Robert Kane, Chief Executive Officer, dated June 15, 2012

4.  First Southwest: Letter from Robert Coulter, Senior Vice President and Chief Administrative Officer, dated July 24, 2012

5.  Government Finance Officers Association: Letter from Susan Gaffney, Director, Federal Liaison Center, dated August 1, 2012

6.  Investment Company Institute: Letter from Tamara K. Salmon, Senior Associate Counsel, dated July 30, 2012

7.  Monument Group: Letter from Molly M. Diggins, General Counsel, dated July 31, 2012

8.  National Association of Bond Lawyers: Letter from Kristin H.R. Franceschi, President, dated July 31, 2012

9.  National Association of Independent Public Finance Advisors: Letter from Colette J. Irwin-Knott, President, dated July 31, 2012

10.  Securities Industry and Financial Markets Association: Letter from Leslie M. Norwood, Managing Director and Associate General Counsel, dated July 31, 2012