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Notice 2024-15 - Request for Comment
Publication date: | Comment due:
Information for:

Dealers, General Public, Investors, Issuers, Municipal Advisors

All Comments to Notice 2024-15

  1. ABLE Savings Plan Network: Letter from Bette Ann Mobley, Chair, dated April 10, 2025
  2. AKF Consulting Group: Letter from Andrea Feirstein, Managing Director, and Mark Chapleau, Senior Consultant, dated April 11, 2025
  3. Arizona State Treasurer’s Office: Letter from Kimberly Yee, Treasurer, dated April 10, 2025
  4. Ascensus: Letter from Christal Fenton, Associate General Counsel, dated April 10, 2025
  5. Bank of North Dakota: Email from James Barnhardt dated April 3, 2025
  6. College Savings Foundation: Letter from Chris McGee, Chair, dated April 9, 2025
  7. College Savings Plans Network: Letter from Mary G. Morris, Chair, dated April 2, 2025
  8. Commonwealth Savers Plan: Letter from Mary G. Morris, Chief Executive Officer, dated April 11, 2025
  9. First Public, LLC: Email from Bill Mastrodicasa dated April 11, 2025
  10. Government Finance Officers Association: Letter from Emily Brock, Director of Federal Liaison Center, dated June 3, 2025
  11. Illinois State Treasurer’s Office: Letter from Michael W. Frerichs, Treasurer, dated April 10, 2025; and Letter from Michael Frerichs, Treasurer, dated April 10, 2025
  12. Investment Company Institute:  Letter from Tara Buckley, Deputy General Counsel, Financial Regulation, and Shannon Salinas, Associate General Counsel, Retirement Policy, dated April 11, 2025
  13. Massachusetts Educational Financing Authority: Letter from Thomas M. Graf, Executive Director, dated April 9, 2025
  14. my529: Letter from Richard K. Ellis, Executive Director, dated March 31, 2025
  15. Nebraska State Treasurer’s Office: Letter from Rachel Biar, Deputy State Treasurer for Savings Programs, dated April 2, 2025
  16. Pennsylvania Treasury Department: Letter from Stacy Garrity, Treasurer, dated April 2, 2025
  17. Securities Industry and Financial Markets Association: Letter from Leslie M. Norwood, Managing Director and Associate General Counsel, and Gerald O’Hara, Vice President and Assistant General Counsel, dated April 11, 2025
  18. TIAA-CREF Tuition Financing, Inc: Letter from Christopher S. Lynch, President, dated April 10, 2025
  19. Vestwell: Letter from Aaron Schumm, Chief Executive Officer, dated April 11, 2025
Notice 2024-14 - Request for Comment
Publication date: | Comment due:
Information for:

Dealers, General Public, Municipal Advisors

All Comments to Notice 2024-14

  1. American Securities Association: Letter from Jessica R. Giroux, General Counsel and Head of Fixed Income Policy, dated January 28, 2025
  2. Bond Dealers of America: Letter from Michael Decker, Senior Vice President, dated January 28, 2025
  3. ICE Bonds Securities Corporation: Letter from Robert Laorno, General Counsel, dated January 21, 2025
  4. National Association of Municipal Advisors: Letter from Susan Gaffney, Executive Director, dated January 28, 2025
  5. Public Resources Advisory Group, Inc.: Letter from Thomas F. Huestis, Senior Managing Director, dated January 27, 2025
  6. Securities Industry and Financial Markets Association: Letter from Leslie M. Norwood, Managing Director and Associate General Counsel, and Gerald O’Hara, Vice President and Assistant General Counsel, dated January 28, 2025
Notice 2024-09 - Request for Comment
Publication date: | Comment due:
Information for:

Bank Dealers, General Public, Investors

Rule Number:

Rule G-7, Rule A-12

All Comments to Notice 2024-09

  1. Association of Registration Management, Inc.: Letter from Richard Izzo, President, dated August 5, 2024
  2. Bond Dealers of America: Letter from Michael Decker, Senior Vice President, dated August 5, 2024
  3. Frost Bank Capital Markets Division: Letter from Jeff Beckel, SEVP and Director of Capital Markets, dated July 30, 2024
  4. Frost Bank Capital Markets Division: Email from Trevor Cross dated July 30, 2024
  5. Securities Industry and Financial Markets Association: Letter from Leslie M. Norwood, Managing Director and Associate General Counsel, Head of Municipal Securities, dated August 5, 2024
Notice 2010-35 - Request for Comment
Publication date: | Comment due:


Comments on MSRB Notice 2010-35 (September 9, 2010)

1.  Associated Bond Brokers, Inc.: Letter from Pamela M. Miller, President, dated November 10, 2010
2.  Hartfield, Titus & Donnelly, LLC: Letter from Mark J. Epstein, President, dated November 22, 2010
3.  Regional Brokers, Inc.: Letter from Joseph A. Hemphill, III, CEO, and H. Deane Armstrong, CCO, dated November 15, 2010
4.  RW Smith & Associates: E-mail from S. Lauren Heyne, Chief Compliance Officer, dated November 19, 2010
5.  Securities Industry and Financial Markets Association: Letter from Leslie M. Norwood, Managing Director and Associate General Counsel, dated November 15, 2010
6.  TheMuniCenter, L.L.C.: Letter from Thomas S. Vales, Chief Executive Officer, dated November 10, 2010
7.  Wolfe & Hurst Bond Brokers, Inc.: Letter from O. Gene Hurst, dated November 5, 2010
8.  Wolfe & Hurst Bond Brokers, Inc.: Letter from O. Gene Hurst, dated November 29, 2010

Notice 2010-30 - Request for Comment
Publication date: | Comment due:
Rule Number:

Rule G-37


Comments on MSRB Notice 2010-30 (August 25, 2010)

1.  ABA Securities Association: Letter from Carolyn Walsh, Deputy General Counsel, dated October 29, 2010

2.  BOK Financial Corporation: Letter from Tom Vincent, Senior Vice President, Manager, Corporate Governance and Wealth Management Compliance, dated October 29, 2010

3.  Securities Industry and Financial Markets Association: Letter from Leslie M. Norwood, Managing Director and Associate General Counsel, dated October 29, 2010

Notice 2010-10 - Request for Comment
Publication date: | Comment due:
Rule Number:

Rule G-30


Comments on MSRB Notice 2010-10 (April 21, 2010)

1.  BMO Capital Markets: Letter from Robert J. Stracks, Counsel, dated June 7, 2010
2.  Citigroup Global Markets: Letter from Howard Marsh, Managing Director, Municipal Securities Division, dated June 14, 2010
3.  Coastal Securities, Inc.: Letter from Chris Melton, Executive Vice President, dated August 3, 2010
4.  J.J.B. Hilliard, W.L. Lyons, LLC: Letter from Ronald J. Dieckman, Director, Municipal Bonds, dated June 4, 2010
5.  Regional Bond Dealers Association: Letter from Mike Nicholas, Chief Executive Officer, dated June 4, 2010
6.  Riedl First Securities: Letter from Gerald D. Riedl, President/CEO, dated June 1, 2010
7.  Roberts & Ryan Investments Inc.: E-mail from Daniel W. Roberts, President/CEO, dated April 21, 2010
8.  RW Smith and Associates, Inc.: Letter from Paige W. Pierce, President and CEO, dated June 4, 2010
9.  Securities Industry and Financial Markets Association: Letter from Leslie M. Norwood, Managing Director and Associate General Counsel, dated June 7, 2010

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