Select regulatory documents by category:
Notice 2023-09 - Market Advisory
Publication date:
Information for:
Dealers, Issuers, Municipal Advisors
Notice 2023-08 - Request for Comment
Publication date:
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Comment due:
Information for:
Bank Dealers, Dealers, General Public, Investors
Rule Number:
- Securities Industry and Financial Markets Association: Letter from Leslie M. Norwood, Managing Director and Associate General Counsel, dated December 15, 2023
Notice 2023-05 - Approval Notice
Publication date:
Information for:
Issuers, Municipal Advisors
Notice 2023-03 - Approval Notice
Publication date:
Information for:
General Public, Issuers, Municipal Advisors
Notice 2023-01 - Informational Notice
Publication date:
Information for:
Bank Dealers, Dealers, Municipal Advisors
Rule Number: