Select regulatory documents by category:
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, General Public, Investors, Issuers, Municipal Advisors
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