Select regulatory documents by category:
Bank Dealers
All Comments to Notice 2022-07
- American Securities Association: Letter from Kelli McMorrow, Head of Government Affairs, dated September 30, 2022
- Amuni Financial, Inc.: Letter from Mike Petagna, President, dated August 23, 2022
- Bailey, Bill: Email dated August 4. 2022
- Belle Haven Investments, L.P.: Letter from Matt Dalton, Chief Executive Officer, dated October 3, 2022
- Bernardi Securities, Inc.: Letter from Ronald P. Bernardi, President and CEO, dated September 30, 2022
BetaNXT: Letter from Will Leahey, Head of Regulatory Compliance, dated October 3, 2022
- Bond Dealers of America: Letter from Michael Decker, Senior Vice President for Public Policy, dated October 3, 2022
- Bryant Bank: Letter from David Long, Executive Vice President, Correspondent Banking/Capital Markets, and Vincent Webb, Managing Director, Bryant Bank Capital Markets, dated September 28, 2022
Cambridge Investment Research, Inc.: Letter from Seth A. Miller, General Counsel, President, Advocacy and Administration, dated October 3, 2022
- Cantella & Co., Inc.: Email from Jay Lanstein, Chief Executive Officer and Chief Technology Officer, dated September 16, 2022
- Cantone Research, Inc.: Email from Maryann Cantone dated August 2, 2022
- Colwell, J.D.: Letter dated September 9, 2022
- DeRobbio, Raymond: Email dated August 3, 2022
- Dimensional Fund Advisors LP: Letter from Gerard O’Reilly, Co-CEO and Chief Investment Officer, and David A. Plecha, Global Head of Fixed Income, dated September 26, 2022
Estrada Hinojosa & Co., Inc.: Letter from Robert A. Estrada, Chairman (Emeritus), dated October 3, 2022
- Falcon Square Capital, LLC: Letter from Melissa P. Hoots, CEO/CCO, dated October 3, 2022
- Financial Information Forum: Letter from Howard Meyerson, Managing Director, dated October 3, 2022; Supplemental Letter from Howard Meyerson, Managing Director, dated April 27, 2023
- Ford & Associates, Inc.: Letter from Jonathan W. Ford, Senior Vice President, dated September 9, 2022
- Hartfield, Titus & Donnelly, LLC: Letter from Edward J. Smith, General Counsel and Chief Compliance Officer, dated September 14, 2022
- Herbert J. Sims & Co., Inc.: Letter from Melissa Messina, Executive Vice President, Associate General Counsel, R. Jeffrey Sands, Managing Principal, General Counsel, and William Sims, Managing Principal, dated October 3, 2022
- Higgins Capital Management, Inc.: Email from Deborah Higgins dated September 19, 2022
- Hilltop Securities: Letter from Lana Calton, Executive Managing Director, Head of Clearing, dated October 3, 2022
- Honey Badger Investment Securities, LLC: Letter from Joe Lee, CEO, dated September 30, 2022
- ICE Bonds Securities Corporation: Letter from Robert Laorno, General Counsel, dated September 30, 2022
- InspereX LLC: Letter from Robert D. Bullington, Vice President, Compliance Officer, dated October 3, 2022
- Institutional Securities Corporation: Letter from Scott Hayes, President and CEO, and Chris Neidlinger, CCO, dated September 30, 2022
- Investment Company Institute: Letter from Sarah A. Bessin, Associate General Counsel, dated October 3, 2022
- Investment Placement Group: Email from Darius Lashkari dated August 2, 2022
- Isaak Bond Investments: Letter from John Isaak, Sr. Vice President, dated August 16, 2022
- Isaak Bond Investments, Inc.: Letter from Donald J. Lemek, VP-Operations and CFO
- Kiley Partners, Inc.: Email from Mike Kiley, Owner, dated September 27, 2022
- Madison Paige Securities: Letter from Gary Herschitz, CEO, dated September 30, 2022
- Mayes, Christopher: Email dated September 27, 2022
Miner, Kathy: Letter dated October 2, 2022
- Municipal Securities Rulemaking Board: Memorandum dated September 12, 2022
- Northland Securities Inc.: Letter from Randy Nitzsche, President and CEO, dated October 3, 2022
- Oberweis Securities, Inc.: Letter from James W. Oberweis, President, dated September 28, 2022
Regional Brokers, Inc.: Letter from H. Deane Armstrong, CCO, and Joseph A. Hemphill III, CEO, dated October 3, 2022
- Robert Blum Municipals, Inc.: Letter from Robert Blum, President, dated September 16, 2022
- Roosevelt & Cross, Inc.: Letter from F. Gregory Finn, Chief Executive Officer, dated October 3, 2022
- RW Smith & Associates, LLC: Letter from Christopher Ferreri, President, dated September 13, 2022
- SAMCO Capital Markets, Inc.: Letter from Lee Maverick, Chief Compliance Officer, dated September 30, 2022
- Sanderlin Securities LLC: Letter from Matthew Kamler, President, dated September 27, 2022
- Securities Industry and Financial Markets Association and the SIFMA Asset Management Group: Letter from Kenneth E. Bentsen, Jr., President and CEO, dated October 3, 2022
- Sentinel Brokers Company, Inc.: Letter from Joseph Lawless, CEO, dated September 30, 2022
- Sheedy, Edward: Email dated August 2, 2022
- Stern Brothers and Co.: Letter dated October 3, 2022
- TRADEliance, LLC: Letter from Jesy LeBlanc and Kat Miller dated September 28, 2022
- Tuma, William: Email dated August 8, 2022
- Wells Fargo & Company: Letter from Nyron Latif, Head of Operations, Wells Fargo Wealth and Investment Management, and Todd Primavera, Head of Operations, Wells Fargo Corporate and Investment Bank, dated October 3, 2022
- Wiley Bros.-Aintree Capital, LLC: Letter from Keener Billups, Managing Director, Municipal Bond Department, dated September 20, 2022
- Wintrust Investments, LLC: Email from Thomas Kiernan dated August 2, 2022
- Zia Corporation: Email from Glenn Burnett dated September 6, 2022
Bank Dealers, Dealers
1. Bond Dealers of America: Letter from Michael Nicholas, Chief Executive Officer, dated September 26, 2014
2 Financial Information Forum: Letter from Darren Wasney, Program Manager, dated September 19, 2014
3. Herbert Murez: E-mail dated August 13, 2014
4. Income Securities Advisor Inc.: E-mail from Richard Lehmann dated August 26, 2014
5. Loren Trigo: E-mail dated August 13, 2014
6. RW Smith & Associates, LLC: E-mail from Paige W. Pierce, President and Chief Executive Officer, dated September 26, 2014
7. Securities Industry and Financial Markets Association: Letter from Leslie M. Norwood, Managing Director and Associate General Counsel, dated September 25, 2014
Bank Dealers, Dealers, Municipal Advisors
1. Bond Dealers of America: Letter from Michael Nicholas, Chief Executive Officer, dated November 1, 2013
2. Corporate Treasury Investment Consulting LLC: Letter from Mark O. Conner, Principal, dated August 16, 2013
3. Financial Information Forum: Letter from Manisha Kimmel, Executive Director, dated November 1, 2013
4. Interactive Data Corporation: Letter from Mark Hepsworth, President, Interactive Data Pricing and Reference Data, dated November 1, 2013
5. Leonard, Jack: Letter dated August 1, 2013
6. Long, Cate: E-mail dated November 1, 2013
7. Sayer, Steven: E-mail dated November 3, 2013
8. Securities Industry and Financial Markets Association: Letter from Leslie M. Norwood, Managing Director and Associate General Counsel, dated November 1, 2013
9. Wells Fargo Advisors, LLC: Letter from Robert J.McCarthy, Director of Regulatory Policy, dated November 1, 2013
Comments on MSRB Notice 2008-19 (April 11, 2008)
- Securities Industry and Financial Markets Association: Letter from Leslie M. Norwood, Managing Director and Associate General Counsel, dated June 5, 2008
- UMB Bank, N.A.: E-mail from Kristin M. Koziol, Vice President & Manager of Municipal Underwriting, dated April 25, 2008
Request for Comment: Plan for Increasing Information Available for Municipal Auction Rate Securities
Comments on MSRB Notice 2008-15 (March 17, 2008)
- Digital Assurance Certification, LLC: Letter from Paula Stuart, Chief Executive Officer, dated April 21, 2008
- McPherson, Jack B: Letter dated March 27, 2008
- Mikag: E-mail dated April 23, 2008
- Regional Bond Dealers Association: Letter from Michael Decker, Co-Chief Executive Officer, and Mike Nicholas, Co-Chief Executive Officer, dated April 21, 2008
- Saber Partners, LLC: Letter from Joseph S. Fichera, Senior Managing Director and CEO, dated July 9, 2008
- Securities Industry and Financial Markets Association:Letter from Leslie M. Norwood, Managing Director and Associate General Counsel, dated April 21, 2008
- Yankauer, Jeff: E-mail dated April 17, 2008
Comments on MSRB Notice 2007-10 (March 5, 2007)
- Bear Stearns and Co. Inc.: Letter from Daniel L. Keating, Senior Managing Director, dated May 9, 2007
- CUSIP Service Bureau: Letter from Gerard Faulkner, Director of Operations, dated May 1, 2007
- First Southwest Company: Letter from Richard A. DeLong, Managing Director, Municipal Trading and Underwriting, dated May 3, 2007
- J.J.B. Hilliard, W.L. Lyons, Inc.: Letter from Lu Ann Vargo, Senior Vice President, Municipal Trader/Underwriter, dated April 4, 2007
- Joe Jolly and Co., Inc.: Letter from Joe Jolly, Jr., dated May 3, 2007
- Lehman Brothers: E-mail from Richard Sentochnik, Senior Vice President, dated May 3, 2007
- Roosevelt and Cross, Inc.: Letter from Raymond J. O'Sullivan, Executive Vice President,
dated April 30, 2007 - Securities Industry and Financial Markets Association: Letter from Leslie M. Norwood, Vice President and Assistant General Counsel, dated May 9, 2007
- Wiley Bros. Facsimile from Carrie Harris, dated May 3, 2007
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