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Notice 2012-41 - Request for Comment
Publication date: | Comment due:
Information for:

Bank Dealers, Dealers


1.  Bond Dealers of America: Letter from Michael Nicholas, Chief Executive Officer, dated September 21, 2012

2.  Charles Schwab & Co. Inc.: Letter from Bari Havlik, Senior Vice President and Chief Compliance Officer, dated September 21, 2012

3.  Cooley, Bruce: Letter

4.  Fidelity Investments: Letter from David A. Forman, Vice President and General Counsel, dated September 21, 2012

5.  Investment Company Institute: Letter from Tamara K. Salmon, Senior Associate Counsel, dated September 21, 2012

6.  Securities Industry and Financial Markets Association: Letter from David L. Cohen, Managing Director and Associate General Counsel, dated September 21, 2012

7.  TD Ameritrade, Inc.: Letter from John S. Markle, Deputy General Counsel, dated September 26, 2012

8.  Wells Fargo Advisors: Letter from Ronald C. Long, Director of Regulatory Affairs, dated September 21, 2012

Notice 2012-19 - Request for Comment
Publication date: | Comment due:
Rule Number:

Rule G-32, Rule G-34


1.  Securities Industry and Financial Markets Association: Letter from Leslie M. Norwood, Managing Director and Associate General Counsel, dated May 8, 2012

2.  TD Securities (USA) LLC: E-mail from Frank Alessandro dated May 8, 2012

Notice 2012-14 - Request for Comment
Publication date: | Comment due:
Rule Number:

Rule G-34


1.  Bond Dealers of America: Letter from Michael Nicholas, Chief Executive Officer, dated April 10, 2012

2.  Full Life Financial LLC: Letter from Keith Newcomb, Portfolio Manager, dated April 14, 2012

3.  Government Finance Officers Association: Letter from Susan Gaffney, Director, Federal Liaison Center, dated April 6, 2012

4.  Kious and Co.: E-mail from Michael Kious dated March 13, 2012

5.  M. E. Allison & Co., Inc.: Letter from Christopher R. Allison, Chief Financial Officer, dated March 13, 2012

6.  McGuirk, Hugh: E-mail dated March 14, 2012

7.  National Association of Independent Public Finance Advisors: Letter from Colette J. Irwin-Knott, President, dated April 9, 2012

8.  Oppenheimer & Co. Inc.: Letter from Allison F. Fleitas II, Managing Director, Municipal Capital Markets Group

9.  UMB Bank, N.A.: E-mail from Kristin Koziol dated March 30, 2012