Select regulatory documents by category:
Comments on MSRB Notice 2010-30 (August 25, 2010)
1. ABA Securities Association: Letter from Carolyn Walsh, Deputy General Counsel, dated October 29, 2010
2. BOK Financial Corporation: Letter from Tom Vincent, Senior Vice President, Manager, Corporate Governance and Wealth Management Compliance, dated October 29, 2010
3. Securities Industry and Financial Markets Association: Letter from Leslie M. Norwood, Managing Director and Associate General Counsel, dated October 29, 2010
Comments on MSRB Notice 2010-10 (April 21, 2010)
1. BMO Capital Markets: Letter from Robert J. Stracks, Counsel, dated June 7, 2010
2. Citigroup Global Markets: Letter from Howard Marsh, Managing Director, Municipal Securities Division, dated June 14, 2010
3. Coastal Securities, Inc.: Letter from Chris Melton, Executive Vice President, dated August 3, 2010
4. J.J.B. Hilliard, W.L. Lyons, LLC: Letter from Ronald J. Dieckman, Director, Municipal Bonds, dated June 4, 2010
5. Regional Bond Dealers Association: Letter from Mike Nicholas, Chief Executive Officer, dated June 4, 2010
6. Riedl First Securities: Letter from Gerald D. Riedl, President/CEO, dated June 1, 2010
7. Roberts & Ryan Investments Inc.: E-mail from Daniel W. Roberts, President/CEO, dated April 21, 2010
8. RW Smith and Associates, Inc.: Letter from Paige W. Pierce, President and CEO, dated June 4, 2010
9. Securities Industry and Financial Markets Association: Letter from Leslie M. Norwood, Managing Director and Associate General Counsel, dated June 7, 2010