Select regulatory documents by category:
Dealers, General Public, Municipal Advisors
All Comments to Notice 2023-11
- Advisabilitys: Email from Andrew Boyack dated January 9, 2024
- Academy Securities, Inc.: Letter from Michael Boyd, Chief Compliance Officer, dated February 23, 2024
- American Securities Association: Letter from Jessica R. Giroux, General Counsel, dated February 26, 2024
- Amuni Financial, Inc.: Letter from Mike Petagna, President, dated January 8, 2024
- Anonymous: Letter
- Bond Dealers of America: Letter from Michael Decker, Senior Vice President, dated February 26, 2024
- Clary Consulting Company: Email from Lowell Clary dated February 16, 2024
- Derivative Advisors: Letter from Elaine M. Philbrick, Principal, dated December 6, 2023
- Dixworks, LLC: Email from Dennis Dix, Jr. dated February 9, 2024
- Echo Valley Advisors, LLC: Letter from Julie Needham, President, dated February 23, 2024
- Herold & Lantern Investments: Letter from Brad Harris, Director of Fixed Income – Municipal Bonds
- Municipal Capital Markets Group, Inc.: Letter from Fred R. Cornwall, President, dated February 26, 2024
- National Association of Municipal Advisors: Letter from Susan Gaffney, Executive Director, dated February 26, 2024
- Regional Brokers, Inc.: Letter from H. Deane Armstrong, CCO, dated February 26, 2024
- Ridgeline Municipal Strategies, LLC: Email from Dmitry Semenov dated December 29, 2023
- Sanderlin Securities LLC: Letter from Matthew Kamler, President, dated January 26, 2024
- Searle & Co., Inc.: Letter from Robert S. Searle, President, dated February 16, 2024
- Securities Industry and Financial Markets Association: Letter from Leslie M. Norwood, Managing Director and Associate General Counsel, Head of Municipal Securities, dated February 26, 2024
- Shnayder, Yana: Email dated December 13, 2023
- Siebert Williams Shank & Co., LLC: Letter from Suzanne Shank, President & Chief Executive Officer, and Gary Hall, President of Infrastructure & Public Finance, dated February 26, 2024
- Speer Financial, Inc.: Letter from Daniel Forbes, President, dated February 20, 2024
- Stern Brothers: Letter dated February 26, 2024
Bank Dealers, Dealers, General Public, Investors
- Securities Industry and Financial Markets Association: Letter from Leslie M. Norwood, Managing Director and Associate General Counsel, dated December 15, 2023
All Comments to Notice 2023-02
- AKF Consulting: Letter from Andrea Feirstein, Managing Director, and Mark Chapleau, Senior Consultant, dated April 20, 2023
- Bond Dealers of America: Letter from Michael Decker, Senior Vice President, dated April 17, 2023
- College Savings Plans Network: Letter from Rachel Biar, Nebraska Assistant State Treasurer, NEST 529 College Savings Program Director, Chairman, College Savings Plans Network, dated April 17, 2023
- Government Finance Officers Association: Letter from Emily Brock, Director, Federal Liaison Center, dated July 21, 2023
- McLane, Curtis: Email dated April 19, 2023
- my529: Letter from Richard K. Ellis, Executive Director, dated April 17, 2023
- Securities Industry and Financial Markets Association: Letter from Leslie M. Norwood, Managing Director and Associate General Counsel, Head of Municipal Securities, dated April 17, 2023
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
