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Notice 2023-02 - Request for Comment
Publication date: | Comment due:
Information for:

Dealers, General Public, Investors

Rule Number:

Rule G-47, Rule D-15

All Comments to Notice 2023-02

  1. AKF Consulting: Letter from Andrea Feirstein, Managing Director, and Mark Chapleau, Senior Consultant, dated April 20, 2023
  2. Bond Dealers of America: Letter from Michael Decker, Senior Vice President, dated April 17, 2023
  3. College Savings Plans Network: Letter from Rachel Biar, Nebraska Assistant State Treasurer, NEST 529 College Savings Program Director, Chairman, College Savings Plans Network, dated April 17, 2023
  4. Government Finance Officers Association: Letter from Emily Brock, Director, Federal Liaison Center, dated July 21, 2023
  5. McLane, Curtis: Email dated April 19, 2023
  6. my529: Letter from Richard K. Ellis, Executive Director, dated April 17, 2023
  7. Securities Industry and Financial Markets Association: Letter from Leslie M. Norwood, Managing Director and Associate General Counsel, Head of Municipal Securities, dated April 17, 2023
Notice 2023-01 - Informational Notice
Publication date:
Compliance Resource
Publication date:
Information for:

Bank Dealers, Dealers, Municipal Advisors, Municipal Fund Securities

Rule Number:

Rule A-12

Notice 2022-14 - Informational Notice
Publication date:
Information for:

Bank Dealers, Dealers, Municipal Advisors

Rule Number:

Rule A-12

Notice 2022-13 - Request for Comment
Publication date: | Comment due:
Information for:

Issuers, Municipal Advisors

Rule Number:

Rule G-3

All Comments to Notice 2022-13

  1. National Association of Municipal Advisors: Letter from Susan Gaffney, Executive Director, dated January 30, 2023
  2. Securities Industry and Financial Markets Association: Letter from Leslie M. Norwood, Managing Director and Associate General Counsel, dated January 30, 2023
  3. Wulff, Hansen & Co.: Letter from Chris Charles, President, dated December 29, 2022
Notice 2022-12 - Informational Notice
Publication date:
Compliance Resource
Publication date:
Notice 2022-10 - Informational Notice
Publication date:
Information for:

Bank Dealers, Dealers, Municipal Advisors, Municipal Fund Securities

Notice 2022-08 - Approval Notice
Publication date:
Notice 2022-06 - Informational Notice
Publication date:
Information for:

Dealers, Municipal Advisors

Compliance Resource
Publication date:
Information for:

Dealers, Investors

Rule Number:

Rule G-32

Notice 2022-01 - Informational Notice
Publication date:
Compliance Resource
Publication date:
Information for:

Dealers, Municipal Advisors, Municipal Fund Securities

Rule Number:

Rule A-12

Notice 2021-18 - Request for Comment
Publication date: | Comment due:
Information for:

Municipal Advisors

Rule Number:

Rule G-17, Rule G-46

All Comments to Notice 2021-18

1. National Association of Municipal Advisors: Letter from Susan Gaffney, Executive Director, dated March 15, 2022

2. Securities Industry and Financial Markets Association: Letter from Leslie M. Norwood, Managing Director and Associate General Counsel, dated March 15, 2022

3. Third-Party Marketers Association: Letter from Donna DiMaria, Chairman of the Board of Directors and Chair of the 3PM Regulatory Committee, dated March 15, 2022

Notice 2021-16 - Informational Notice
Publication date:
Compliance Resource
Publication date:
Notice 2021-15 - Informational Notice
Publication date:
Information for:

Bank Dealers, Dealers, Municipal Advisors, Municipal Fund Securities

Notice 2021-12 - Request for Comment
Publication date: | Comment due:
Information for:

Bank Dealers, Dealers, Municipal Advisors

All Comments to Notice 2021-12

1. Bond Dealers of America: Letter from Michael Decker, Senior Vice President, dated January 19, 2022

2. First River Advisory L.L.C.: Letter from Shelley J. Aronson dated January 18, 2022

3. National Association of Municipal Advisors: Letter from Susan Gaffney, Executive Director, dated January 19, 2022

4. Securities Industry and Financial Markets Association: Letter from Leslie M. Norwood, Managing Director and Associate General Counsel, and Matthew Roberts, Assistant Vice President, dated January 19, 2022

Notice 2021-11 - Informational Notice
Publication date:
Notice 2021-10 - Informational Notice
Publication date:
Compliance Resource
Publication date:
Information for:

Bank Dealers, Dealers, Investors

Rule Number:

Rule G-32

Compliance Resource
Publication date:
Information for:

Dealers, Investors

Rule Number:

Rule G-32