Select regulatory documents by category:
Municipal Advisors
Dealers, Municipal Advisors
Dealers, Municipal Advisors
Dealers, Municipal Advisors
MSRB Amends Certain Fees for Dealers and Municipal Advisors and Proposes an Annual Rate Card Process
Bank Dealers, Dealers, Issuers
Municipal Advisors
Bank Dealers, Dealers
Municipal Advisors
Municipal Advisors
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