Select regulatory documents by category:
Bank Dealers, Dealers
Bank Dealers, Dealers
Bank Dealers, Dealers
Bank Dealers, Dealers, Municipal Advisors
Bank Dealers, Municipal Advisors
1. Bond Dealers of America: Letter from Mike Nicholas, CEO, dated November 10, 2016
2. Center for Municipal Finance: Letter from Marc D. Joffe dated November 6, 2016
3. City of New York: Letter from Prescott D. Ulrey, General Counsel, New York City Office of Management and Budget, and Al Rodriguez, Chief, Municipal Finance Division, New York City Law Department, dated November 11, 2016
4. City of New York, Office of the Comptroller: Letter from Tim Martin, Assistant Comptroller for Public Finance, dated November 11, 2016
5. Darcy Versions I and II: E-mail from G. Letti dated October 12, 2016
6. Financial Services Institute: Letter from Robin Traxler, Vice President, Regulatory Affairs and Associate General Counsel, dated November 11, 2016
7. Government Finance Officers Association: Letter from Emily Swenson Brock, Director, Federal Liaison Center, dated November 10, 2016
8. Kevin M. Bronner: Letter dated November 11, 2016
9. Michael Paganini: E-mail dated October 12, 2016
10. National Association of Municipal Advisors: Letter from Susan Gaffney, Executive Director, dated November 14, 2016
11. National Association of State Treasurers: Letter from Hon. James McIntire, President, dated November 16, 2016
12. National Federation of Municipal Analysts: Letter from Lisa Washburn, Chair, dated November 10, 2016
13. Richard Li: E-mail (1) and E-mail (2) dated October 13, 2016
14. San Francisco International Airport: Letter from Kevin Kone, Managing Director, Finance, dated November 10, 2016
15. Securities Industry and Financial Markets Association: Letter from Michael Decker, Managing Director, dated November 11, 2016
16. Sunlight Foundation: Letter from Noel Isama, Policy Associate, dated November 10, 2016
17. Wells Fargo Advisors, LLC: Letter from Robert J. McCarthy, Director of Regulatory Policy, dated November 11, 2016
Bank Dealers, Municipal Advisors
1. Breena LLC: E-mail from G. Letti dated September 30, 2016
2. Castle Advisory Company LLC: E-mail from Garth Schulz dated September 30, 2016
3. Columbia Capital Management, LLC: Letter from Jeff White, Principal, dated November 11, 2016
4. Financial Services Institute: Letter from David T. Bellaire, Executive Vice President and General Counsel, dated November 14, 2016
5. Lamont Financial Services Corporation: Letter from Robert A. Lamb, President, dated October 21, 2016
6. Lawrence Goldberg: E-mail dated September 30, 2016
7. National Association of Municipal Advisors: Letter from Susan Gaffney, Executive Director, dated November 14, 2016
8. PFM Group: Letter from Leo Karwejna, Managing Director and Chief Compliance Officer, dated November 14, 2016
9. Public Resources Advisory Group: Letter from Marianne F. Edmonds, Senior Managing Director, dated November 14, 2016
10. Roberts Consulting, LLC: E-mail from Jonathan Roberts dated October 14, 2016
11. Third Party Marketers Association: Letter from Donna DiMaria, Chairman of the Board of Directors, dated November 17, 2016
Bank Dealers, Dealers
1. Bond Dealers of America: Letter from Mike Nicholas, Chief Executive Officer, dated October 18, 2016
2. Darcy Versions I and II: E-mail from G. Letti dated September 27, 2016
3. Financial Services Institute: Letter from David T. Bellaire, Executive Vice President & General Counsel, dated October 11, 2016
4. James J. Angel: Letter dated October 22, 2016
5. National Association of Bond Lawyers: Letter from Clifford M. Gerber, President, dated December 23, 2016
6. Romano Brothers & Co.: Letter from Eric Bederman, Chief Operating and Compliance Officer, dated October 18, 2016
7. Securities Industry and Financial Markets Association: Letter from Leslie M. Norwood, Managing Director and Associate General Counsel, dated October 18, 2016
Bank Dealers, Dealers, Municipal Advisors
Bank Dealers, Dealers
Bank Dealers, Dealers, Municipal Fund Securities
Bank Dealers, Dealers
MSRB Files Amendment to Rule G-37 to Clarify its Application to Contributions before August 17, 2016
Bank Dealers, Dealers, Municipal Advisors
Municipal Advisors
Municipal Advisors
Bank Dealers, Dealers
Bank Dealers, Dealers, Municipal Advisors, Municipal Fund Securities