Select regulatory documents by category:
Bank Dealers, Municipal Advisors
1. Bond Dealers of America: Letter from Mike Nicholas, CEO, dated November 10, 2016
2. Center for Municipal Finance: Letter from Marc D. Joffe dated November 6, 2016
3. City of New York: Letter from Prescott D. Ulrey, General Counsel, New York City Office of Management and Budget, and Al Rodriguez, Chief, Municipal Finance Division, New York City Law Department, dated November 11, 2016
4. City of New York, Office of the Comptroller: Letter from Tim Martin, Assistant Comptroller for Public Finance, dated November 11, 2016
5. Darcy Versions I and II: E-mail from G. Letti dated October 12, 2016
6. Financial Services Institute: Letter from Robin Traxler, Vice President, Regulatory Affairs and Associate General Counsel, dated November 11, 2016
7. Government Finance Officers Association: Letter from Emily Swenson Brock, Director, Federal Liaison Center, dated November 10, 2016
8. Kevin M. Bronner: Letter dated November 11, 2016
9. Michael Paganini: E-mail dated October 12, 2016
10. National Association of Municipal Advisors: Letter from Susan Gaffney, Executive Director, dated November 14, 2016
11. National Association of State Treasurers: Letter from Hon. James McIntire, President, dated November 16, 2016
12. National Federation of Municipal Analysts: Letter from Lisa Washburn, Chair, dated November 10, 2016
13. Richard Li: E-mail (1) and E-mail (2) dated October 13, 2016
14. San Francisco International Airport: Letter from Kevin Kone, Managing Director, Finance, dated November 10, 2016
15. Securities Industry and Financial Markets Association: Letter from Michael Decker, Managing Director, dated November 11, 2016
16. Sunlight Foundation: Letter from Noel Isama, Policy Associate, dated November 10, 2016
17. Wells Fargo Advisors, LLC: Letter from Robert J. McCarthy, Director of Regulatory Policy, dated November 11, 2016
Bank Dealers, Municipal Advisors
1. Breena LLC: E-mail from G. Letti dated September 30, 2016
2. Castle Advisory Company LLC: E-mail from Garth Schulz dated September 30, 2016
3. Columbia Capital Management, LLC: Letter from Jeff White, Principal, dated November 11, 2016
4. Financial Services Institute: Letter from David T. Bellaire, Executive Vice President and General Counsel, dated November 14, 2016
5. Lamont Financial Services Corporation: Letter from Robert A. Lamb, President, dated October 21, 2016
6. Lawrence Goldberg: E-mail dated September 30, 2016
7. National Association of Municipal Advisors: Letter from Susan Gaffney, Executive Director, dated November 14, 2016
8. PFM Group: Letter from Leo Karwejna, Managing Director and Chief Compliance Officer, dated November 14, 2016
9. Public Resources Advisory Group: Letter from Marianne F. Edmonds, Senior Managing Director, dated November 14, 2016
10. Roberts Consulting, LLC: E-mail from Jonathan Roberts dated October 14, 2016
11. Third Party Marketers Association: Letter from Donna DiMaria, Chairman of the Board of Directors, dated November 17, 2016
Bank Dealers, Dealers
1. Bond Dealers of America: Letter from Mike Nicholas, Chief Executive Officer, dated October 18, 2016
2. Darcy Versions I and II: E-mail from G. Letti dated September 27, 2016
3. Financial Services Institute: Letter from David T. Bellaire, Executive Vice President & General Counsel, dated October 11, 2016
4. James J. Angel: Letter dated October 22, 2016
5. National Association of Bond Lawyers: Letter from Clifford M. Gerber, President, dated December 23, 2016
6. Romano Brothers & Co.: Letter from Eric Bederman, Chief Operating and Compliance Officer, dated October 18, 2016
7. Securities Industry and Financial Markets Association: Letter from Leslie M. Norwood, Managing Director and Associate General Counsel, dated October 18, 2016
Bank Dealers, Dealers
1. American Municipal Securities, Inc.: Letter from Michael Petagna, President, dated May 25, 2016
2. Bond Dealers of America: Letter from Mike Nicholas, Chief Executive Officer, dated May 25, 2016
3. Breena LLC: E-mail from G. Letti dated April 19, 2016
4. Center for Municipal Finance: Letter from Marc D. Joffe, President, dated April 7, 2016
5. Neighborly.com: E-mail from Jase Wilson dated May 25, 2016
6. Regional Brokers, Inc.: Letter from H. Deane Armstrong, CCO
7. Securities Industry and Financial Markets Association: Letter from Leslie M. Norwood, Managing Director and Associate General Counsel, dated May 25, 2016
8. Thomas Kiernan: E-mail dated April 7, 2016
9. Vista Securities: E-mail from Rick DeLong dated May 9, 2016
10. Wells Fargo Advisors, LLC: Letter from Robert J. McCarthy, Director of Regulatory Policy, dated May 25, 2016
Bank Dealers, Dealers, Municipal Advisors
1. American Bankers Association: Letter from Cristeena G. Naser, Vice President, Center for Securities, Trust and Investments, dated May 27, 2016
2. American Governmental Financial Services Company: E-mail from Robert Doty dated May 31, 2016
3. Bond Dealers of America: Letter from Mike Nicholas, Chief Executive Officer, dated May 27, 2016
4. Breena LLC: E-mail from G. Letti dated March 28, 2016; and e-mail from G. Letti dated May 1, 2016
5. Caine Mitter & Associates Incorporated: E-mail from Thomas Caine dated May 27, 2016
6. Cavanal Hill Investment Management: E-mail from Douglas Benton dated May 2, 2016
7. Charles Schwab Investment Management: Letter from Marie Chandoha, President and Chief Executive Officer, dated May 27, 2016
8. Dixworks LLC: E-mail from Dennis Dix, Jr. dated March 29, 2016
9. George K. Baum & Company: Letter from Guy E. Yandel, Executive Vice President; Dana L. Bjornson, Executive Vice President and Chief Compliance Officer; and Andrew F. Sears, Executive Vice President and General Counsel; dated May 26, 2016
10. Government Finance Officers Association: Letter from Emily Brock, Director, Federal Liaison Center, dated May 27, 2016
11. Investment Company Institute: Letter from Dorothy Donohue, Deputy General Counsel - Securities Regulation, dated May 27, 2016
12. Kane, McKenna Capital, Inc.: Letter from Philip R. McKenna, President, dated April 7, 2016
13. Lawrence Financial Consulting LLC: E-mail from Tom Lawrence dated March 30, 2016; and letter from Tom Lawrence, President, dated May 2, 2016
14. Lewis Young Robertson & Burningham: Letter from Laura D. Lewis, Principal, dated May 26, 2016
15. National Association of Bond Lawyers: Letter from Kenneth R. Artin, President, dated May 27, 2016
16. National Association of Health and Educational Facilities Finance Authorities: Letter from Donna Murr, President; Martin Walke, Advocacy Committee Chairman; and Charles Samuels, General Counsel; dated May 26, 2016
17. National Association of Municipal Advisors: Letter from Terri Heaton, President, dated May 26, 2016
18. National Association of State Treasurers: Letter
19. National Federation of Municipal Analysts: Letter from Lisa Washburn, Chair, dated May 23, 2016
20. Public Financial Management, Inc,: Letter from Leo Karwejna, Chief Compliance Officer, and Cheryl Maddox, General Counsel, dated May 26, 2016
21. Public Resources Advisory Group: Letter from Marianne F. Edmonds, Senior Managing Director, dated May 27, 2016
22. Securities Industry and Financial Markets Association: Letter from Leslie M. Norwood, Managing Director and Associate General Counsel, dated May 26, 2016
23. Securities Industry and Financial Markets Association, Asset Management Group: Letter from Timothy W. Cameron, Asset Management Group - Head, and Lindsey W. Keljo, Vice President and Assistant General Counsel, Asset Management Group, dated May 27, 2016
24. State of Florida, Division of Bond Finance: Letter from J. Ben Watkins III, Director, dated May 27, 2016
25. Sycamore Advisors, LLC: E-mail from Courtney Tobin dated June 8, 2016
26. Thomson Reuters: Letter from Michael C. Demas, Head, Municipal Evaluations, dated May 27, 2016
27. Wake County, North Carolina: Letter from Nicole Kreiser, Debt Manager, dated May 26, 2016
28. WM Financial Strategies: Letter from Joy A. Howard, Principal, dated May 27, 2016
29. Wulff, Hansen & Co.: Letter from Chris Charles, President
30. Zions Bank: Letter from James G. Livingston, Senior Vice President, dated May 25, 2016
Bank Dealers, Dealers
1. Bond Dealers of America: Letter from Michael Nicholas, Chief Executive Officer, dated March 31, 2016
2. Breena LLC: E-mail from G. Lettieri dated February 23, 2016; and e-mail from G. Lettieri dated March 10, 2016
3. Brian Shaw: Letter dated March 28, 2016
4. Herbert Murez: E-mail dated March 28, 2016
5. Markit: Letter from Marcus Schuler, Head of Regulatory Affairs, dated March 31, 2016
6. Office of the Investor Advocate, U.S. Securities and Exchange Commission: Letter from Rick A. Fleming, Investor Advocate, dated March 31, 2016
7. Securities Industry and Financial Markets Association: Letter from Leslie M. Norwood, Managing Director and Associate General Counsel, Municipal Securities Division, and Sean Davy, Managing Director, Capital Markets Division, dated March 31, 2016
8. State of Florida, Division of Bond Finance: Letter from J. Ben Watkins III, Director, dated March 31, 2016
9. Thomson Reuters: Letter from Manisha Kimmel, Chief Regulatory Officer, Wealth Management, dated March 31, 2016
Bank Dealers, Dealers
1. Bond Dealers of America: Letter from Mike Nicholas, Chief Executive Officer, dated March 4, 2016
2. Breena LLC: E-mail from Geraldine Lettieri dated January 6, 2016
3. National Securities Clearing Corporation: Letter from Murray C. Pozmanter, Managing Director, dated January 12, 2016
4. Securities Industry and Financial Markets Association: Letter from Leslie M. Norwood, Managing Director and Associate General Counsel, dated March 6, 2016
Comments on MSRB Notice 2008-24 (May 23, 2008)
- Digital Assurance Certification LLC: Letter from Paula Stuart, Chief Executive Officer, dated July 1, 2008
- Depository Trust and Clearing Corporation: Letter from Daniel Thieke, Vice President, dated June 26, 2008
- Merrill Lynch : Letter from Christine Walsh, Managing Director, dated June 26, 2008
- Saber Partners, LLC: Letter from Joseph S. Fichera, Senior Managing Director and CEO, dated July 9, 2008
- RW Smith and Associates, Inc.: Letter from S. Lauren Heyne, Chief Compliance Officer, dated June 30, 2008
- Securities Industry and Financial Markets Association: Letter from Leslie M. Norwood, Managing Director and Associate General Counsel, dated June 30, 2008
- SunTrust Robinson Humphrey: Letter from Dara L. Smith, Managing Director, dated June 27, 2008
- Thornton Farish Inc.: Letter from Joseph A. Whitehead, dated June 30, 2008
- W.R. Taylor and Company, LLC: Letter from Belle Walker, Senior Vice President, dated August 7, 2008
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
1. American Bankers Association: Letter from Cristeena G. Naser, Senior Counsel, Center for Securities, Trust & Investments, dated February 28, 2008
2. Council of Infrastructure Financing Authorities: Letter from Rick Farrell, Executive Director, dated February 25, 2008
3. First Southwest Company: Letter from Jack Addams, Managing Director, Public Finance, dated February 25, 2008
4. Government Finance Officers Association; National Association of State Auditors, Comptrollers and Treasurers; National Association of State Treasurers: Letter from Jeffrey L. Esser, GFOA Executive Director and CEO; Vernon L. Larson, NASACT President & South Dakota State Treasurer; and Lynn Jenkins, NAST President & Kansas State Treasurer; dated February 25, 2008
5. Investment Company Institute: Letter from Heather Traeger, Assistant Counsel, dated February 25, 2008
6. National Association of Bond Lawyers: Letter from J. Foster Clark, President, dated February 25, 2008
7. National Association of Health and Education Facilities Finance Authorities: Letter from Robert Donovan, Executive Director, Rhode Island Health and Educational Building Corporation, and Stephen M. Fillebrown, Director of Research, Investor Relations and Compliance, New Jersey Health Care Facilities Financing Authority, dated March 3, 2008
8. National Association of Independent Public Finance Advisors: Letter from Kathleen A. Aho, President, dated March 10, 2008
9. National Federation of Municipal Analysts: Letter from Rob Yolland, Chairman, dated March 10, 2008
10. Securities Industry and Financial Markets Association: Letter from Leslie M. Norwood, Managing Director and Associate General Counsel, dated February 25, 2008