All Comments to Notice 2018-29

1. Bond Dealers of America: Letter from Mike Nicholas, Chief Executive Officer, dated January 15, 2019

2. City of San Diego: Letter 

3. Government Finance Officers Association: Letter from Emily S. Brock, Director, Federal Liaison Center, dated January 15, 2019

4. National Association of Municipal Advisors: Letter from Susan Gaffney, Executive Director, dated January 15, 2019

5. Securities Industry and Financial Markets Association: Letter from Leslie M. Norwood, Managing Director and Associate General Counsel, and Bernard V. Canepa, Vice President and Assistant General Counsel, dated January 15, 2019

All Comments to Notice 2018-25

1. Bond Dealers of America: Letter from Mike Nicholas, Chief Executive Officer, dated October 17, 2018; and Letter from Michael Nicholas, Chief Executive Officer, dated November 30, 2018

2. National Association of Municipal Advisors: Letter from Susan Gaffney, Executive Director, dated October 17, 2018

3. Securities Industry and Financial Markets Association: Letter from Leslie M. Norwood, Managing Director and Associate General Counsel, dated October 17, 2018

4. Springsted Incorporated: Letter from Kathleen A. Aho, President, dated October 17, 2018

All Comments to Notice 2018-22

1. Amuni Financial, Inc.: Letter from Mike Petagna, President, dated October 31, 2018

2. Bond Dealers of America: Letter from Michael Nicholas, Chief Executive Officer, dated November 13, 2018

3. Emmet & Co.: Email from Robert Ventrice dated September 14, 2018

4. Hartfield, Titus & Donnelly, LLC: Letter from Edward J. Smith, Chief Compliance Officer, and Christopher C. Ferreri, Chief Operating Officer, dated November 13, 2018

5. Headlands Tech Global Markets, LLC: Letter from Matthew F. Andresen, Chief Executive Officer, dated October 26, 2018

6. Regional Brokers, Inc.: Letter from Joseph A. Hemphill, III, Chief Executive Officer, and H. Deane Armstrong, Chief Compliance Officer, dated November 6, 2018

7. RW Smith & Associates, LLC: Letter from Denien Rasmussen, Co-Chief Compliance Officer, Chief Operating Officer, dated November 13, 2018

8. Securities Industry and Financial Markets Association: Letter from Leslie M. Norwood, Managing Director and Associate General Counsel, dated November 13, 2018

9. TMC Bonds: Letter from Thomas S. Vales, Chief Executive Officer, dated November 14, 2018

1. Wells Fargo Advisors: Letter from Robert J. McCarthy, Director of Regulatory Policy, dated November 5, 2018

All Comments to Notice 2018-20

1. Bond Dealers of America: Letter from Michael Nicholas, Chief Executive Officer, dated November 27, 2018

2. National Association of Municipal Advisors: Letter from Susan Gaffney, Executive Director, dated November 28, 2018

3. Securities Industry and Financial Markets Association: Letter from Michael Decker, Managing Director, dated November 27, 2018

All Comments to Notice 2018-19

1. Bond Dealers of America: Letter from Mike Nicholas, Chief Executive Officer, dated September 14, 2018

2. National Association of Municipal Advisors: Letter from Susan Gaffney, Executive Director, dated September 17, 2018

3. Securities Industry and Financial Markets Association: Letter from Leslie M. Norwood, Managing Director and Associate General Counsel, dated September 14, 2018

4. Wells Fargo Advisors: Letter from Robert J. McCarthy, Director of Regulatory Policy, dated September 14, 2018

All Comments to Notice 2018-15

1. Acacia Financial Group, Inc.: Letter from Noreen P. White, Co-President, and Kim M. Whelan, Co-President, dated September 17, 2018

2. Bond Dealers of America: Letter from Mike Nicholas, Chief Executive Officer, dated September 17, 2018

3. C F I: Email from Stephen Holstein dated July 25, 2018

4. Ehlers Associates, Inc.: Letter from Steve Apfelbacher dated September 17, 2018

5. Government Finance Officers Association: Letter from Emily S. Brock, Director, Federal Liaison Center, dated September 19, 2018 

6. National Association of Municipal Advisors: Letter from Susan Gaffney, Executive Director, dated September 18, 2018

7. National Federation of Municipal Analysts: Letter from Julie Egan, NFMA Industry Practices and Procedures Chair, and Lisa Washburn, NFMA Industry Practices and Procedures Co-Chair, dated September 17, 2018

8. Office of the Investor Advocate, U.S. Securities and Exchange Commission: Letter from Rick A. Fleming, Investor Advocate, dated September 17, 2018

9. Public Resources Advisory Group: Letter from Marianne F. Edmonds dated September 18, 2018

10. Securities Industry and Financial Markets Association: Letter from Leslie M. Norwood, Managing Director and Associate General Counsel, dated September 17, 2018

All Comments to Notice 2018-14

1. Bond Dealers of America: Letter from Mike Nicholas, Chief Executive Officer, dated July 27, 2018

2. National Association of Municipal Advisors: Letter from Susan Gaffney, Executive Director, dated July 27, 2018

3. Securities Industry and Financial Markets Association: Letter from Leslie M. Norwood, Managing Director and Associate General Counsel, dated July 26, 2018

All Comments to Notice 2018-10

1. Bond Dealers of America: Letter from Mike Nicholas, Chief Executive Officer, dated August 6, 2018

2. Government Finance Officers Association: Letter from Emily S. Brock, Director, Federal Liaison Center, dated August 6, 2018

3. National Association of Municipal Advisors: Letter from Susan Gaffney, Executive Director, dated August 6, 2018

4. Securities Industry and Financial Markets Association: Letter from Leslie M. Norwood, Managing Director and Associate General Counsel, dated August 6, 2018

5. State of Florida, Division of Bond Finance: Letter from J. Ben Watkins III, Director, dated August 8, 2018

All Comments to Notice 2018-09

1. Bond Dealers of America: Letter from Mike Nicholas, Chief Executive Officer, dated July 16, 2018

2. Financial Services Institute: Letter from Robin Traxler, Vice President, Regulatory Affairs and Associate General Counsel, dated July 16, 2018

3. Securities Industry and Financial Markets Association: Letter from Leslie M. Norwood, Managing Director and Associate General Counsel, dated July 16, 2018

All Comments to Notice 2018-03

1. Bond Dealers of America: Letter from Michael Nicholas, Chief Executive Officer, dated April 20, 2018

2. cfX Incorporated: Letter from Benjamin Madorsky, Chief Compliance Officer, dated April 16, 2018

3. Kensington Capital Advisors: Email from Kim Wyatt dated February 22, 2018

4. National Association of Health and Educational Facilities Finance Authorities: Letter from Charles A. Samuels, Counsel for NAHEFFA, dated April 16, 2018

5. National Association of Municipal Advisors: Letter from Susan Gaffney, Executive Director, dated April 16, 2018

6. PFM Financial Advisors LLC: Letter from Catherine Humphrey-Bennett, Municipal Advisory Compliance Officer, dated April 16, 2018

7. Piper Jaffray & Co.: Letter from Frank Fairman, Managing Director, Head of Public Finance Services, dated April 16, 2018

8. Securities Industry and Financial Markets Association: Letter from Leslie M. Norwood, Managing Director and Associate General Counsel, dated April 16, 2018

No comments available.

No comments available.

No comments available.

Comments on MSRB Notice 2006-19 (July 27, 2006) 

1. American Bar Association, Section of State and Local Government Law: Letter from Edward J. Sullivan, Chair, dated October 9, 2006
2. American Governmental Financial Services Company: Letter from Robert W. Doty, President, dated September 15, 2006
3. Automatic Data Processing, Inc.: Letter from Gerard F. Scavelli, Senior Vice President & General Manager, dated September 15, 2006
4. Bernardi Securities, Inc.: Letter from Eric Bederman, Chief Compliance Officer, dated August 7, 2006
5. Bond Market Association: Letter from Leslie M. Norwood, Vice President and Assistant General Counsel, dated September 15, 2006
6. brokersXpress, LLC: Letter from Blaine Schwartz, President & CCO, dated September 15, 2006
7. College Savings Plans Network: Letter from Jackie T. Williams, Chair, dated September 22, 2006
8. Commerce Bancshares, Inc.: Letter from Michael A. Dardis, Manager of Trust and Investment Products Compliance, dated September 13, 2006
9. Digital Assurance Certification LLC: Letter from Paula Stuart, Chief Executive Officer, dated September 29, 2006
10. DPC DATA Inc.: Letter from Peter J. Schmitt, Chief Executive Officer, dated September 13, 2006
11. Edward D. Jones & Co., LP: Letter from Robert Beck, Principal, Municipal Bonds, dated September 13, 2006
12. First Southwest Company: Letter from Richard A. DeLong, Senior Vice President, Municipal Trading and Underwriting, dated September 15, 2006
13. Griffin, Kubik, Stephens & Thompson, Inc.: Letter from Robert J. Stracks, Counsel, dated September 14, 2006
14. Investment Company Institute: Letter from Elizabeth R. Krentzman, General Counsel, dated September 14, 2006
15. J.J.B. Hilliard, W.L. Lyons, Inc.: Letter from Ronald J. Dieckman, Senior Vice President, Director of Public Finance/Municipals, dated August 4, 2006
16. Morgan Keegan & Company, Inc.: Letter from Jerry L. Chapman, Managing Director, Municipal Product Manager, dated August 31, 2006
17. Municipal Advisory Council of Texas: Letter from Gary P. Machak, Chairman, dated September 14, 2006
18. National Association of Bond Lawyers: Letter from Walter J. St. Onge III, President, dated September 14, 2006
19. National Federation of Municipal Analysts: Letter from Eric Friedland, Chairman, dated September 15, 2006
20. Regional Municipal Operations Association: Letter from Thomas Sargant, President, dated September 27, 2006
21. Securities Industry Association: Letter from Elizabeth Varley, Vice-President and Director of Retirement Policy, and Michael D. Udoff, Vice-President, Associate General Counsel and Secretary, dated September 20, 2006
22. Standard & Poor’s CUSIP Service Bureau: Letter from Gerard Faulkner, Director – CUSIP Operations, dated September 15, 2006
23. Stone, Daniel E.: Letter dated September 2, 2006
24. TRB Associates: Letter from Ruth D. Brod, Consultant, dated September 14, 2006
25. UBS Securities LLC: Letter from Terry L. Atkinson, Managing Director, dated September 15, 2006
26. UMB Bank, N.A.: Letter from James C. Thompson, Divisional Executive Vice President, Investment Banking Division, dated September 14, 2006
27. USAA Investment Management Company: Letter from Eileen M. Smiley, Vice President and Assistant Secretary, dated September 15, 2006
28. Wells Fargo Institutional Brokerage & Sales: Letter from John McCune, President, dated September 14, 2006
29. Zions Bank Public Finance: E-mail from Eric Pehrson, Vice President, dated September 8, 2006

No comments available.

No comments available.