REQUEST FOR COMMENT ON RULE G-23 ON THE UNDERWRITING ACTIVITIES OF FINANCIAL ADVISORS


Comments on MSRB Notice 2010-27 (August 17, 2010)

1.  Alabama Department of Education: Letter from Warren Craig Pouncey, Deputy State Superintendent of Education, Administrative and Financial Services, dated September 29, 2010

2.  Allen Boone Humphries Robinson LLP: Letter from Joe B. Allen, Managing Partner, dated September 29, 2010

3.  American Governmental Financial Services of Sacramento: E-mail from Robert Doty, President, dated September 30, 2010

4.  Barren County (Kentucky) Schools: Letter from Dr. Jerry Ralston, Superintendent, dated September 15, 2010

5.  BMO Capital Markets GKST Inc.: Letter from Robert J. Stracks, Counsel, dated September 30, 2010

6.  Bond Dealers of America: Letter from Mike Nicholas, Chief Executive Officer, dated September 30, 2010

7.  Boyd County (Kentucky) Public Schools: Letter from Donald Fleu, Finance Director/Treasurer, dated September 15, 2010

8.  Columbia Capital Management, LLC: Letter from Dennis Lloyd, President, dated September 29, 2010

9.  Copperas Cove, Texas: Letter from Andrea Gardner, City Manager, dated September 29, 2010

10.  Corinthian Communities: Letter from Harry Masterson, Principal, dated September 30, 2010

11.  Crews & Associates, Inc.: Letter from Jim Jones, President, dated September 28, 2010

12.  Crittenden County (Kentucky) Schools: Letter from Brent Highfil, Finance Director, dated September 15, 2010

13.  D.A. Davidson & Co.: Letter from William A. Johnstone, President and Chief Executive Officer, dated September 29, 2010

14.  Dayton (Kentucky) Independent Schools: Letter from Gary Rye, Superintendent, dated September 14, 2010

15.  Denver, Colorado, Department of Finance: Letter from R.O. Gibson, Director of Financial Management, dated September 29, 2010

16.  DeWaay Financial Network: Letter from Mark Detter, Vice-President, dated September 24, 2010

17.  East Bernstadt (Kentucky) Independent School: Letter from Homer Radford, Superintendent, dated September 15, 2010

18.  Eastern Bank: E-mail from Patricia Bowen, Vice President, dated December 1, 2010

19.  Eastern Bank Capital Markets: Letter from James N. Fox, Senior Vice President and Managing Director, dated September 29, 2010

20.  Ehlers & Associates: Letter from Michael C. Harrigan, Chairman/Senior Financial Advisor, dated September 30, 2010

21.  Elliott County (Kentucky) Board of Education: Letter from John Williams, Superintendent, dated September 15, 2010

22.  Estrada Hinojosa & Company, Inc.: Letter from Robert A. Estrada, Chairman and Chief Compliance Officer, dated September 30, 2010

23.  Fieldman, Rolapp & Associates: Letter from Thomas M. DeMars, Managing Principal, dated September 30, 2010

24.  FirstSouthwest: Letter from Hill A. Feinberg, Chairman and CEO, dated September 23, 2010

25.  FirstSouthwest: Letter from Hill A. Feinberg, Chairman and CEO, dated September 29, 2010

26.  FirstSouthwest: Letter from Hill A. Feinberg, Chairman and CEO, dated October 19, 2010

27.  FirstSouthwest: Letter from Julie Peak, Managing Director, dated September 27, 2010

28.  FirstSouthwest: Letter from Terrell Palmer, Senior Vice President, dated September 29, 2010

29.  Fiscal Advisors & Marketing, Inc.: Letter from John C. Shehadi, Chairman, et al., dated September 30, 2010

30.  Fulbright & Jaworski L.L.P.: Letter from Fredric A. Weber, dated September 30, 2010

31.  George K. Baum & Company: Letter from Robert K. Dalton, Vice Chairman, dated September 29, 2010

32.  Georgetown, Texas: Letter from Micki Rundell, Chief Financial Officer, dated September 8, 2010

33.  GGP-Bridgeland, LP: Letter from Peter C. Houghton, Vice President, dated September 29, 2010

34.  Government Finance Officers Association: Letter from Susan Gaffney, Director, Federal Liaison Center, dated September 30, 2010

35.  Greenup County (Kentucky) Schools: Letter from Scott P. Burchett, Finance Director/Treasurer, dated September 17, 2010

36.  Independent Bond & Investment Consultants LLC: Letter from William N. Lindsay, Director, and Mark N. Chapman, Director, dated September 30, 2010

37.  J.J.B. Hilliard, W.L. Lyons, LLC: Letter from Ronald J. Dieckman, Director Public Finance and Municipal Bonds, dated September 30, 2010

38.  Kenton County (Kentucky) Board of Education: Letter from Kelley Gamble, Finance Director, dated September 15, 2010

39.  Kentucky Interlocal School Transportation Association: Letter from Jack Moreland, President, dated September 27, 2010

40.  Lantana (Texas) District Offices, Denton County Fresh Water Supply Districts 6 & 7: Letter from Kevin Mercer, General Manager, dated September 28, 2010

41.  Lewis Young Robertson & Burningham, Inc.: Letter from Scott J. Robertson, Principal, dated September 22, 2010

42.  Lynn, Robert O.L.: E-mail from Robert O.L. Lynn, Financial Services Consultant, dated September 29, 2010

43.  Mischer Investments: Letter from Mark A. Kilkenny, Senior Vice President, dated September 29, 2010

44.  Municipal Information Services: Letter from Ronald L. Welch, dated September 30, 2010

45.  Munistat Services, Inc.: Letter from Robert F. Sikora, President, dated September 30, 2010

46.  National Association of Independent Public Finance Advisors: Letter from Steven F. Apfelbacher, President, dated September 30, 2010

47.  Newland Real Estate Group, LLC: Letter from Walter F. Nelson, President, dated September 30, 2010

48.  NewQuest Properties: Letter from Steven D. Alvis, Managing Partner, dated September 29, 2010

49.  Osage Beach, Missouri: Letter from Karri Bell, City Treasurer, dated August 26, 2010

50.  Pike County (Kentucky) Schools: Letter from Nancy Ratliff, Finance Director, dated September 15, 2010

51.  Piper Jaffray & Co.: Letter from Frank Fairman, Managing Director, Head of Public Finance Services, and Rebecca Lawrence, Assistant General Counsel, Principal, dated September 29, 2010

52.  Portland, Oregon, Office of Management and Finance: Letter from Eric H. Johansen, Treasurer, dated September 29, 2010

53.  Public FA, Inc.: Letter from Philip C. Dotts, President, dated September 30, 2010

54.  Public Financial Management, Inc.: Letter from F. John White, Chief Executive Officer, dated September 29, 2010

55.  RBC Capital Markets Corporation: Letter from Christopher Hamel, Head, Municipal Finance, dated September 30, 2010

56.  Red Capital Markets, LLC: Letter from Kevin J. Mainelli, Managing Director, dated September 30, 2010

57.  Robert W. Baird & Co. Incorporated: Letter from Charles M. Weber, Associate General Counsel, dated September 29, 2010

58.  Ross, Sinclaire & Associates: Letter from Murray Sinclaire, Jr., President/CEO, dated September 28, 2010

59.  Schwartz, Page & Harding, L.L.P.: Letter from Joseph M. Schwartz, Managing Partner, dated September 29, 2010

60.  Securities Industry and Financial Markets Association: Letter from Leslie M. Norwood, dated September 30, 2010

61.  Signorelli Company: Letter from Daniel K. Signorelli, President

62.  Smith, Murdaugh, Little & Bonham, L.L.P.: Letter from W. James Murdaugh, Jr., dated September 29, 2010

63.  South Carolina Association of Governmental Organizations: Letter from Brantley D. Thomas III, Chairman of the Board of Directors, dated September 15, 2010

64.  Specialized Public Finance Inc.: Letter from Garry R. Kimball, President, dated September 30, 2010

65.  Springsted Incorporated: Letter from Kathleen A. Aho, President, dated September 29, 2010

66.  Stone & Youngberg: Letter from Stone & Youngberg, dated September 28, 2010

67.  Tamalpais Advisors, Inc.: Letter from Jean Marie Buckley, President, dated September 28, 2010

68.  Warren County, Kentucky: Letter from Michael O. Buchanon, Judge-Executive

69.  WM Financial Strategies: Letter from Joy A. Howard, Principal, dated September 28, 2010

70.  WM Financial Strategies: Letter from Nathan R. Howard, Municipal Advisor, dated September 28, 2010

71.  Wolff Companies: Letter from David W. Hightower, Executive Vice President and Chief Development Officer, dated September 30, 2010

72.  Young & Brooks: Letter from Mark W. Brooks, dated September 29, 2010

73.  Zions First National Bank: Letter from W. David Hemingway, Executive Vice President, dated September 30, 2010