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Notice 2014-09 - Informational Notice
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Notice 2011-34 - Request for Comment
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Rule A-11

1.  Kaplan Financial Consulting, Inc.: E-mail from Dan Kaplan, dated July 29, 2011

2.  Kitahata & Company: E-mail from Gary Kitahata, Principal, dated July 26, 2011

3.  National Association of Independent Public Finance Advisors: Letter from Colette J. Irwin-Knott, President, dated August 29, 2011

4.  National Association of Independent Public Finance Advisors: Letter from Colette J. Irwin-Knott, President, dated September 12, 2011

5.  Repsholdt, John V.: Letter dated August 29, 2011

6.  Securities Industry and Financial Markets Association: Letter from Michael Decker, Managing Director, dated September 12, 2011

Notice 2009-45 - Informational Notice
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Notice 2008-13 - Informational Notice
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Notice 2006-14 - Informational Notice
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Notice 2002-36 - Informational Notice
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Notice 2001-44 - Informational Notice
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Compliance Resource
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Dealers, Municipal Advisors, Municipal Fund Securities