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Notice 2017-02 - Informational Notice
Publication date:
Information for:

Bank Dealers, Dealers, Municipal Advisors

Notice 2017-01 - Request for Comment
Publication date: | Comment due:
Information for:

Bank Dealers, Dealers

Rule Number:

Rule G-26

1.  Bond Dealers of America: Letter from Mike Nicholas, Chief Executive Officer, dated February 17, 2017

2.  Michael Paganini: E-mail dated January 6, 2017

3.  Securities Industry and Financial Markets Association: Letter from Leslie M. Norwood, Managing Director and Associate General Counsel, dated February 17, 2017

 

Compliance Resource
Publication date:
Information for:

Dealers, Investors

Rule Number:

Rule G-32

Notice 2016-29 - Informational Notice
Publication date:
Notice 2016-28 - Approval Notice
Publication date:
Notice 2016-27 - Informational Notice
Publication date:
Notice 2016-26 - Informational Notice
Publication date:
Information for:

Bank Dealers, Dealers, Municipal Advisors

Notice 2016-23 - Request for Comment
Publication date: | Comment due:
Information for:

Bank Dealers, Dealers

Rule Number:

Rule G-15

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

Notice 2016-22 - Approval Notice
Publication date:
Information for:

Bank Dealers, Dealers, Municipal Advisors

Notice 2016-21 - Approval Notice
Publication date:
Information for:

Bank Dealers, Dealers

Rule Number:

Rule G-12

Compliance Resource
Publication date:
Notice 2016-19 - Informational Notice
Publication date:
Compliance Resource
Publication date:
Notice 2016-18 - Informational Notice
Publication date:
Information for:

Bank Dealers, Dealers, Municipal Advisors

Rule Number:

Rule G-37

Notice 2016-15 - Informational Notice
Publication date:
Information for:

Bank Dealers, Dealers

Rule Number:

Rule G-12, Rule G-15

Notice 2016-14 - Informational Notice
Publication date:
Information for:

Bank Dealers, Dealers, Municipal Advisors, Municipal Fund Securities

Rule Number:

Rule D-12

Notice 2016-13 - Request for Comment
Publication date: | Comment due:
Information for:

Bank Dealers, Dealers

Rule Number:

Rule G-15

1.  American Municipal Securities, Inc.: Letter from Michael Petagna, President, dated May 25, 2016

2.  Bond Dealers of America: Letter from Mike Nicholas, Chief Executive Officer, dated May 25, 2016

3.  Breena LLC: E-mail from G. Letti dated April 19, 2016

4.  Center for Municipal Finance: Letter from Marc D. Joffe, President, dated April 7, 2016

5.  Neighborly.com: E-mail from Jase Wilson dated May 25, 2016

6.  Regional Brokers, Inc.: Letter from H. Deane Armstrong, CCO

7.  Securities Industry and Financial Markets Association: Letter from Leslie M. Norwood, Managing Director and Associate General Counsel, dated May 25, 2016

8.  Thomas Kiernan: E-mail dated April 7, 2016

9.  Vista Securities: E-mail from Rick DeLong dated May 9, 2016

10.  Wells Fargo Advisors, LLC: Letter from Robert J. McCarthy, Director of Regulatory Policy, dated May 25, 2016

Notice 2016-12 - Informational Notice
Publication date:
Compliance Resource
Publication date:
Information for:

Issuers, Municipal Advisors

Rule Number:

Rule G-42

Notice 2016-11 - Request for Comment
Publication date: | Comment due:
Information for:

Bank Dealers, Dealers, Municipal Advisors

1.  American Bankers Association: Letter from Cristeena G. Naser, Vice President, Center for Securities, Trust and Investments, dated May 27, 2016

2.  American Governmental Financial Services Company: E-mail from Robert Doty dated May 31, 2016

3.  Bond Dealers of America: Letter from Mike Nicholas, Chief Executive Officer, dated May 27, 2016

4.  Breena LLC: E-mail from G. Letti dated March 28, 2016; and e-mail from G. Letti dated May 1, 2016

5.  Caine Mitter & Associates Incorporated: E-mail from Thomas Caine dated May 27, 2016

6.  Cavanal Hill Investment Management: E-mail from Douglas Benton dated May 2, 2016

7.  Charles Schwab Investment Management: Letter from Marie Chandoha, President and Chief Executive Officer, dated May 27, 2016

8.  Dixworks LLC: E-mail from Dennis Dix, Jr. dated March 29, 2016

9.  George K. Baum & Company: Letter from Guy E. Yandel, Executive Vice President; Dana L. Bjornson, Executive Vice President and Chief Compliance Officer; and Andrew F. Sears, Executive Vice President and General Counsel; dated May 26, 2016

10.  Government Finance Officers Association: Letter from Emily Brock, Director, Federal Liaison Center, dated May 27, 2016

11.  Investment Company Institute: Letter from Dorothy Donohue, Deputy General Counsel - Securities Regulation, dated May 27, 2016

12.  Kane, McKenna Capital, Inc.: Letter from Philip R. McKenna, President, dated April 7, 2016

13.  Lawrence Financial Consulting LLC: E-mail from Tom Lawrence dated March 30, 2016; and letter from Tom Lawrence, President, dated May 2, 2016

14.  Lewis Young Robertson & Burningham: Letter from Laura D. Lewis, Principal, dated May 26, 2016

15.  National Association of Bond Lawyers: Letter from Kenneth R. Artin, President, dated May 27, 2016

16.  National Association of Health and Educational Facilities Finance Authorities: Letter from Donna Murr, President; Martin Walke, Advocacy Committee Chairman; and Charles Samuels, General Counsel; dated May 26, 2016

17.  National Association of Municipal Advisors: Letter from Terri Heaton, President, dated May 26, 2016

18.  National Association of State Treasurers: Letter

19.  National Federation of Municipal Analysts: Letter from Lisa Washburn, Chair, dated May 23, 2016

20.  Public Financial Management, Inc,: Letter from Leo Karwejna, Chief Compliance Officer, and Cheryl Maddox, General Counsel, dated May 26, 2016

21.  Public Resources Advisory Group: Letter from Marianne F. Edmonds, Senior Managing Director, dated May 27, 2016

22.  Securities Industry and Financial Markets Association: Letter from Leslie M. Norwood, Managing Director and Associate General Counsel, dated May 26, 2016

23.  Securities Industry and Financial Markets Association, Asset Management Group: Letter from Timothy W. Cameron, Asset Management Group - Head, and Lindsey W. Keljo, Vice President and Assistant General Counsel, Asset Management Group, dated May 27, 2016

24.  State of Florida, Division of Bond Finance: Letter from J. Ben Watkins III, Director, dated May 27, 2016

25.  Sycamore Advisors, LLC: E-mail from Courtney Tobin dated June 8, 2016

26.  Thomson Reuters: Letter from Michael C. Demas, Head, Municipal Evaluations, dated May 27, 2016

27.  Wake County, North Carolina: Letter from Nicole Kreiser, Debt Manager, dated May 26, 2016

28.  WM Financial Strategies: Letter from Joy A. Howard, Principal, dated May 27, 2016

29.  Wulff, Hansen & Co.: Letter from Chris Charles, President

30.  Zions Bank: Letter from James G. Livingston, Senior Vice President, dated May 25, 2016

   

Notice 2016-10 - Informational Notice
Publication date:
Compliance Resource
Publication date:
Notice 2016-09 - Informational Notice
Publication date:
Notice 2016-08 - Informational Notice
Publication date: