Select regulatory documents by category:
Municipal Advisors
Bank Dealers, Dealers, Municipal Advisors
Bank Dealers, Dealers, Municipal Advisors
Municipal Advisors
Bank Dealers, Dealers, Municipal Advisors
All Comments to Notice 2019-13
1. Acacia Financial Group, Inc.: Letter from Kim M. Whelan, Co-President, and Noreen P. White, Co-President, dated August 19, 2019
2. Bond Dealers of America: Letter from Michael Nicholas, Chief Executive Officer, dated August 23, 2019
3. Columbia Capital Management, LLC: Letter from Jeff White, Managing Member, dated August 19, 2019
4. Crews & Associates, Inc.: Letter from Don Winton, Chief Operating Officer, dated August 23, 2019
5. Ehlers: Letter from Phil Cosson, Ehlers Board Chairman
6. First Kentucky Securities Corp.: Email from Stan Kramer dated August 13, 2019
7. Government Finance Officers Association: Letter from Emily Swenson Brock, Director, Federal Liaison Center, dated August 19, 2019
8. KPM Financial, LLC: Letter from Jay Saunders, Director
9. Kutak Rock LLP: Letter from Joshua P. Meyer dated August 16, 2019
10. Lewis Young Robertson & Burningham, Inc.: Letter from Laura D. Lewis, Principal, dated August 7, 2019
11. National Association of Municipal Advisors: Letter from Susan Gaffney, Executive Director, dated August 19, 2019
12. Phoenix Advisors, LLC: Letter from David B. Thompson, CEO, dated August 14, 2019
13. Richard Li: Email dated January 29, 2020
14. Robert W. Doty: Letter dated August 19, 2019
15.Securities Industry and Financial Markets Association: Letter from Leslie M. Norwood, Managing Director and Associate General Counsel, and Bernard V. Canepa, Vice-President and Assistant General Counsel, dated August 19, 2019
16. Speer Financial, Inc.: Letter from Daniel Forbes, President, dated August 19, 2019
17. State of Florida, Division of Bond Finance: Letter from J. Ben Watkins III, Director, dated September 3, 2019
18. Zions Public Finance, Inc. and Zions Bank Public Finance: Letter from James Livingston, Executive Vice President, dated August 14, 2019
Issuers, Municipal Advisors
Issuers, Municipal Advisors
Bank Dealers, Dealers, Municipal Advisors
Municipal Advisors
All Comments to Notice 2019-08
1. Bernardi Securities, Inc.: Letter from Lou Lamberti, Sr. Vice President, dated May 24, 2019
2. Bloomberg L.P.: Letter from Peter Warms, Senior Manager, Entity and Identifier Services, dated May 28, 2019
3. Bond Dealers of America: Letter from Michael Nicholas, Chief Executive Officer, dated May 28, 2019
4. Dixworks LLC: Letter from Dennis Dix, Jr., dated March 4, 2019
5. Lamont Financial Services Corporation: Letter from Robert A. Lamb, President, dated May 7, 2019
6. National Association of Municipal Advisors: Letter from Susan Gaffney, Executive Director, dated May 28, 2019
7. Securities Industry and Financial Markets Association: Letter from Leslie M. Norwood, Managing Director and Associate General Counsel, dated May 28, 2019
8. Municipal Solutions, Inc.: Letter from Jeffrey R. Smith, President, dated May 28, 2019
Bank Dealers, Dealers, Municipal Advisors
Municipal Advisors
Bank Dealers, Dealers, Municipal Advisors
Bank Dealers, Dealers, General Public, Investors, Issuers, Municipal Advisors
Bank Dealers, Dealers, Municipal Advisors
Bank Dealers, Dealers, Municipal Advisors
Bank Dealers, Dealers, Municipal Advisors
MSRB Files Content Outline for the Municipal Advisor Principal Qualification Examination (Series 54)
Municipal Advisors
Municipal Advisors
Municipal Advisors
Bank Dealers, Dealers, Municipal Advisors
All Comments to Notice 2018-29
1. Bond Dealers of America: Letter from Mike Nicholas, Chief Executive Officer, dated January 15, 2019
2. City of San Diego: Letter
3. Government Finance Officers Association: Letter from Emily S. Brock, Director, Federal Liaison Center, dated January 15, 2019
4. National Association of Municipal Advisors: Letter from Susan Gaffney, Executive Director, dated January 15, 2019
5. Securities Industry and Financial Markets Association: Letter from Leslie M. Norwood, Managing Director and Associate General Counsel, and Bernard V. Canepa, Vice President and Assistant General Counsel, dated January 15, 2019
Bank Dealers, Dealers, Municipal Advisors
Bank Dealers, Dealers, Municipal Advisors
Municipal Advisors
Municipal Advisors