Select regulatory documents by category:
1. Bartholomew, Patricia E., 2014 Chair, Securities Industry Council on Continuing Education, and Bartol, William E., 2013 Chair, Securities Industry Council on Continuing Education: Letter dated January 13, 2014
2. Bond Dealers of America: Letter from Michael Nicholas, Chief Executive Officer, dated January 13, 2014
3. Diamant Investment Corporation: E-mail from Herbert Diamant dated December 13, 2013
4. Financial Services Institute: Letter from David T. Bellaire, Executive Vice President and General Counsel, dated January 13, 2014
5. Investment Company Institute: Letter from Tamara K. Salmon, Senior Associate Counsel, dated January 13, 2014
6. MetLife Securities, Inc.: Letter from Jennifer Lewis, Corporate Counsel, dated January 13, 2014
7. National Society of Compliance Professionals: Letter from Judy Werner, Executive Director, dated January 14, 2014
8. Romano Wealth Management: E-mail from Joe Romano dated January 13, 2014
9. RW Smith & Associates, Inc.: E-mail from Paige Pierce dated January 13, 2014
10. Securities Industry and Financial Markets Association: Letter from David L. Cohen, Managing Director and Associate General Counsel, dated January 13, 2014
11. Wulff, Hansen & Co.: Letter from Chris Charles, President, dated January 9, 2014
Bank Dealers, Dealers, Municipal Advisors
1. Financial Services Institute: Letter from David T. Bellaire, Executive Vice President and General Counsel, dated September 20, 2013
2. National Association of Independent Public Finance Advisors: Letter from Jeanine Rodgers Caruso, President, dated September 20, 2013
3. Securities Industry and Financial Markets Association: Letter from Leslie M. Norwood, Managing Director and Associate General Counsel, dated September 20, 2013
4. U.S. Bancorp Investments, Inc.: E-mail from Herbert Neufeld dated August 19, 2013
Bank Dealers, Dealers
1. Ambassador Financial Group: E-mail from Allen Collins dated August 8, 2013
2. Barclays Capital Inc.: Letter from Jennifer Small, Municipal Compliance, dated October 7, 2013
3. Bond Dealers of America: Letter from Michael Nicholas, Chief Executive Officer, dated October 7, 2013
4. Financial Services Institute: Letter from David T. Bellaire, Executive Vice President and General Counsel, dated October 7, 2013
5. Interactive Data Corporation: Letter from Mark Hepsworth, President, Interactive Data Pricing and Reference Data, dated October 7, 2013
6. Investment Company Institute: Letter from Tamara K. Salmon, Senior Associate Counsel, dated September 20, 2013
7. J.J.B. Hilliard, W.L. Lyons LLC: Letter from Alex Rorke, Director, Public Finance
8. Melton, Chris: Letter dated September 26, 2013
9. Private Investor: E-mail from Private Investor dated September 2, 2013
10. Securities Industry and Financial Markets Association: Letter from David L. Cohen, Managing Director and Associate General Counsel, dated October 7, 2013
11. Wells Fargo Advisors, LLC: Letter from Robert J. McCarthy, Director of Regulatory Policy, dated October 7, 2013
1. Financial Services Institute: Letter from David T. Bellaire, Executive Vice President and General Counsel, dated September 20, 2013
2. Investment Company Institute: Letter from Tamara K. Salmon, Senior Associate Counsel, dated September 20, 2013
3. Securities Industry and Financial Markets Association: Letter from David L. Cohen, Managing Director, Associate General Counsel, dated September 20, 2013
4. Wells Fargo Advisors, LLC: Letter from Robert J. McCarthy, Director of Regulatory Policy, dated September 20, 2013
5. Wells Fargo Securities: Letter from Gerald K. Mayfield, Senior Counsel, dated September 20, 2013
Bank Dealers, Dealers, Municipal Advisors
1. Bond Dealers of America: Letter from Michael Nicholas, Chief Executive Officer, dated November 1, 2013
2. Corporate Treasury Investment Consulting LLC: Letter from Mark O. Conner, Principal, dated August 16, 2013
3. Financial Information Forum: Letter from Manisha Kimmel, Executive Director, dated November 1, 2013
4. Interactive Data Corporation: Letter from Mark Hepsworth, President, Interactive Data Pricing and Reference Data, dated November 1, 2013
5. Leonard, Jack: Letter dated August 1, 2013
6. Long, Cate: E-mail dated November 1, 2013
7. Sayer, Steven: E-mail dated November 3, 2013
8. Securities Industry and Financial Markets Association: Letter from Leslie M. Norwood, Managing Director and Associate General Counsel, dated November 1, 2013
9. Wells Fargo Advisors, LLC: Letter from Robert J.McCarthy, Director of Regulatory Policy, dated November 1, 2013
Bank Dealers, Dealers
1. Bond Dealers of America: Letter from Michael Nicholas, Chief Executive Officer, dated June 12, 2013
2. Securities Industry and Financial Markets Association: Letter from David L. Cohen, Managing Director, Associate General Counsel, dated June 12, 2013
3. Wells Fargo Advisors, LLC: Letter from Robert J. McCarthy, Director of Regulatory Policy, dated June 12, 2013
1. Bond Dealers of America: Letter from Michael Nicholas, Chief Executive Officer, dated May 6, 2013
2. College Savings Foundation: Letter from Roger Michaud, Chairman, dated May 6, 2013
3. College Savings Plans Network: Letter from Michael L. Fitzgerald, Treasurer of Iowa and Chairman, dated May 6, 2013
4. Financial Services Institute: Letter from David T. Bellaire, Executive Vice President and General Counsel, dated May 6, 2013
5. Investment Company Institute: Letter from Tamara K. Salmon, Senior Associate Counsel, dated May 5, 2013
6. Retail Investor: Email from Retail Investor dated August 25, 2013
7. Securities Industry and Financial Markets Association: Letter from David L. Cohen, Managing Director, Associate General Counsel, dated May 6, 2013
8. Wells Fargo Advisors, LLC: Letter from Robert J. McCarthy, Director of Regulatory Policy, dated May 6, 2013
Bank Dealers, Dealers, Municipal Advisors
1. Bond Dealers of America: Letter from Michael Nicholas, Chief Executive Officer, dated March 28, 2013
2. Boyle, Nick: Letter
3. City of Milwaukee: E-mail from Richard Li dated March 7, 2013
4. Government Finance Officers Association: Letter from Dustin McDonald, Director, Federal Liaison Center, dated April 30, 2013
5. National Association of Bond Lawyers: Letter from Scott R. Lilienthal, President, dated March 29, 2013
Bank Dealers, Dealers
1. Bond Dealers of America: Letter from Michael Nicholas, Chief Executive Officer, dated March 12, 2013
2. Charles Schwab & Co., Inc.: Letter from Michael P. Moran, Vice President, Compliance, dated March 12, 2013
3. Lumesis, Inc.: Letter from Gregg L. Bienstock, Co-Founder and Chief Executive Officer, dated March 11, 2013
4. Lumesis, Inc.: Letter from Gregg L. Bienstock, Co-Founder and Chief Executive Officer, dated July 17, 2013
5. R.W. Smith & Associates, Inc.: E-mail from Paige Pierce dated March 20, 2013
6. Securities Industry and Financial Markets Association: Letter from David L. Cohen, Managing Director and Associate General Counsel, dated March 12, 2013
7. TMC Bonds, L.L.C.: Letter from Thomas S. Vales, Chief Executive Officer, dated March 11, 2013
8. Wells Fargo Advisors, LLC: Letter from Robert J. McCarthy, Director of Regulatory Policy, dated March 12, 2013
Bank Dealers, Dealers
1. Barclays Capital Inc.: Letter from Scott Coya, Director, Municipal Compliance, dated March 15, 2013
2. Bond Dealers of America: Letter from Michael Nicholas, Chief Executive Officer, dated March 15, 2013
3. Charles Schwab & Co. Inc.: Letter from Michael P. Moran, Vice President, Fixed Income Compliance, dated March 15, 2013
4. Eastern Bank: E-mail from James N. Fox, SVP and Managing Director, dated March 15, 2013
5. Financial Information Forum: Letter from Arsalan Shahid, Program Director, dated March 15, 2013
6. Financial Services Institute: Letter from David T. Bellaire, Executive Vice President and General Counsel, dated March 15, 2013
7. Frost Bank: Letter from Robert N. Jacobs, Assistant Vice President/Compliance Officer, dated March 11, 2013
8. Investment Company Institute: Letter from Dorothy Donohue, Deputy General Counsel-Securities Regulation, dated March 15, 2013
9. J.W. Korth & Company LP: E-mail from James Korth dated March 14, 2013
10. R.W. Smith & Associates, Inc.: E-mail from Paige Pierce, dated March 20, 2013
11. Securities Industry and Financial Markets Association: Letter from Leslie M. Norwood, Managing Director and Associate General Counsel, dated March 15, 2013
12. Seidel & Shaw, LLC: Letter from Thomas W. Shaw, President, dated March 15, 2013
13. Standish: E-mail from Daniel Rabasco dated March 15, 2013
14. TMC Bonds, L.L.C.: Letter from Thomas S. Vales, Chief Executive Officer, dated March 15, 2013
15. Tradition Asiel Securities, Inc.: Letter from Eric M. Earnhardt, Chief Compliance Officer, dated March 19, 2013
1. Alternative Regulatory Solutions, L.L.C.: Letter from Kimberly McManus, President, dated December 13, 2011
2. Bond Dealers of America: Letter from Michael Nicholas, CEO, dated December 13, 2011
3. Securities Industry and Financial Markets Association: Letter from David L. Cohen, Managing Director, Associate General Counsel, dated December 13, 2011
4. TMC Bonds L.L.C.: Letter from John S. Craft, Director of Sales and Marketing, dated December 13, 2011
1. Bond Dealers of America: Letter from Michael Nicholas, Chief Executive Officer, dated November 3, 2011
2. Dolan, Tom: Letter dated October 21, 2011
3. Hartfield, Titus & Donnelly, LLC: Letter from Mark J. Epstein, President and CEO, dated November 3, 2011
4. Knight BondPoint: Letter from Marshall Nicholson, Managing Director, dated November 3, 2011
5. Regional Brokers, Inc.: Letter from Joseph A. Hemphill III, President, and H. Deane Armstrong, CCO, dated November 1, 2011
6. Securities Industry and Financial Markets Association: Letter from Leslie M. Norwood, Managing Director and Associate General Counsel, dated November 2, 2011
7. TMC Bonds L.L.C.: Letter from Thomas S. Vales, Chief Executive Officer, dated November 3, 2011
8. Vista Securities, Inc.: Letter from Paul Larkin, President, dated November 1, 2011
9. Wolfe & Hurst Bond Brokers, Inc.: Letter from O. Gene Hurst, President, dated November 3, 2011
1. College Savings Plans Network: Letter from Joan Marshall, Chair, dated September 14, 2011
2. National Association of Independent Public Finance Advisors: Letter from Colette J. Irwin-Knott, President, dated September 14, 2011
1. National Association of Independent Public Finance Advisors: Letter from Colette J. Irwin-Knott, President, dated September 14, 2011
2. WM Financial Strategies: Letter from Joy A. Howard, Principal, dated September 13, 2011
1. Kaplan Financial Consulting, Inc.: E-mail from Dan Kaplan, dated July 29, 2011
2. Kitahata & Company: E-mail from Gary Kitahata, Principal, dated July 26, 2011
3. National Association of Independent Public Finance Advisors: Letter from Colette J. Irwin-Knott, President, dated August 29, 2011
4. National Association of Independent Public Finance Advisors: Letter from Colette J. Irwin-Knott, President, dated September 12, 2011
5. Repsholdt, John V.: Letter dated August 29, 2011
6. Securities Industry and Financial Markets Association: Letter from Michael Decker, Managing Director, dated September 12, 2011
- Coalition of Mutual Fund Investors: Letter from Niels Holch, Executive Director, dated August 31, 2011
- College Savings Foundation: Letter from Roger Michaud, Chairman, dated August 31, 2011
- College Savings Plans Network: Letter from Joan Marshall, Chair, dated August 31, 2011
- Investment Company Institute: Letter from Tamara K. Salmon, Senior Associate Counsel, dated August 31, 2011
- Morningstar, Inc.: Letter from Laura Pavlenko Lutton, Editorial Director, Fund Research Group, dated August 31, 2011
- Securities Industry and Financial Markets Association: Letter from David L. Cohen, Managing Director, Associate General Counsel, dated August 26, 2011
- Stable Value Consultants: E-mail from Christopher B. Tobe, dated July 21, 2011
- Sutherland Asbill & Brennan LLP: Letter from Michael Koffler, dated August 31, 2011
- Virginia College Savings Plan: Letter from Mary G. Morris, Chief Executive Officer, dated August 31, 2011
- Wells Fargo Funds Management, LLC: Letter from Andrew N. Owen, Executive Vice President, dated August 31, 2011
1. Bond Dealers of America: Letter from Mike Nicholas, Chief Executive Officer, dated June 24, 2011
2. Bradley Payne LLC: Letter from John B. Payne, Principal, dated May 25, 2011
3. Dixworks LLC: Letter from Dennis Dix, Jr., Principal, dated June 1, 2011
4. First Southwest: Letter from Robert Coulter, Senior Vice President, Chief Administrative Officer, dated June 23, 2011
5. Leigh Fisher: Letter from Nicholas Davidson, President, dated June 22, 2011
6. National Association of Independent Public Finance Advisors: Letter from Colette J. Irwin-Knott, President, dated June 24, 2011
7. Securities Industry and Financial Markets Association: Letter from David L. Cohen, Managing Director, Associate General Counsel, dated June 24, 2011
8. Third Party Marketers Association: Letter from Lisa Roth, Board Director, dated June 13, 2011
1. American Municipal Securities, Inc.: Letter from John C. Petagna, Jr., President, dated April 26, 2011
2. Barker, Bill: E-mail dated April 18, 2011
3. Bond Dealers of America: Letter from Mike Nicholas, Chief Executive Officer, dated April 21, 2011
4. Chapdelaine & Co.: Letter from August J. Hoerrner, President, dated May 5, 2011
5. Conners & Company, Inc.: E-mail from Jay White dated April 13, 2011
6. Foard, Dale: E-mail dated April 21, 2011
7. Hartfield, Titus & Donnelly, LLC: Letter from Mark J. Epstein, President and Chief Executive Officer, dated April 21, 2011
8. KeyBanc Capital Markets Inc.: E-mail from Michael A. Burrello, Managing Director, Municipal Trading and Underwriting, dated April 21, 2011
9. Kiley Partners, Inc.: E-mail from Michael Kiley dated April 12, 2011
10. Knight BondPoint: Letter from Marshall Nicholson, Managing Director, dated April 21, 2011
11. M.E. Allison & Co., Inc.: E-mail from Christopher R. Allison, Chief Financial Officer, dated April 20, 2011
12. National Alliance Securities: E-mail from Bob Barnette, Municipal Trader, dated April 21, 2011
13. Oppenheimer & Co., Inc.: Letter from Marty Campbell, Senior Director, Municipal Underwriting & Trading
14. Potratz, Jay: E-mail dated April 21, 2011
15. R. Seelaus & Co., Inc.: E-mail from Richard Seelaus dated April 13, 2011
16. Regional Brokers, Inc.: Letter from Joseph A. Hemphill, III, CEO, and H. Deane Armstrong, CCO, dated April 21, 2011
17. Regional Brokers, Inc.: Letter from Joseph A. Hemphill, III, President and CEO, and H. Deane Armstrong, CCO, dated May 12, 2011
18. RH Investment Corporation: Letter from Andrew L. "Bud" Byrnes, III, Chief Executive Officer, dated April 21, 2011
19. Robbins, Leonard Jack: Letter dated May 1, 2011
20. RW Smith & Associates, Inc.: Letter from Paige W. Pierce, President and CEO, dated April 27, 2011
21. Securities Industry and Financial Markets Association: Letter from Leslie M. Norwood, Managing Director and Associate General Counsel, dated April 29, 2011
22. Securities Industry and Financial Markets Association: Letter from Leslie M. Norwood, Managing Director and Associate General Counsel, dated April 29, 2011
23. Seidel & Shaw, LLC: Letter from Thomas W. Shaw, President
24. Sentinel Brokers Company, Inc.: E-mail from Joseph M. Lawless, President, dated April 12, 2011
25. Sentinel Brokers Company, Inc.: E-mail from Joseph M. Lawless, President, dated April 13, 2011
26. Seven Points Capital: E-mail from Jerry Racasi dated April 13, 2011
27. Stifel, Nicolaus & Company, Incorporated: E-mail from Andy Jackson dated April 20, 2011
28. Stoever Glass & Co.: Letter from Frederick J. Stoever, President, dated April 15, 2011
29. TheMuniCenter, LLC: Letter from Thomas S. Vales, Chief Executive Officer, dated April 21, 2011
30. Tradeweb Markets LLC: Letter from John Cahalane, Managing Director, Head of Tradeweb Retail, dated May 3, 2011
31. Walsh, John: E-mail dated April 21, 2011
32. Wiley Bros.-Aintree Capital, LLC: E-mail from Keener Billups, Managing Director, dated April 26, 2011, corrects Wiley Bros.-Aintree Capital, LLC: E-mail from Keener Billups, Managing Director, dated April 13, 2011
33. William Blair: E-mail from Tom Greene dated April 21, 2011
34. Welbourn, Steve: E-mail dated April 21, 2011
35. Wolfe & Hurst Bond Brokers, Inc.: Letter from O. Gene Hurst, President, dated April 25, 2011, corrects Wolfe & Hurst Bond Brokers, Inc.: Letter from O. Gene Hurst, President, dated April 21, 2011
36. Ziegler Capital Markets: E-mail from Kathleen R. Murphy dated April 13, 2011
1. Catholic Finance Corporation: Letter from Michael P. Schaefer, Executive Director, dated February 16, 2011
2. Catholic Finance Corporation: Letter from Michael P. Schaefer, Executive Director, dated April 5, 2011
3. Fisher, Robert: E-mail dated April 6, 2011
4. Municipal Regulatory Consulting LLC: Letter from David Levy, Principal, dated April 1, 2011
5. National Association of Independent Public Finance Advisors: Letter from Colette J. Irwin-Knott, President, dated April 1, 2011
6. Public Financial Management, Inc.: Letter from Joseph J. Connolly, General Counsel, dated April 4, 2011
7. Securities Industry and Financial Markets Association: Letter from Leslie M. Norwood, Managing Director and Associate General Counsel, dated April 5, 2011
8. WM Financial Strategies: Letter from Joy A. Howard, Principal, dated April 2, 2011
1. American Bankers Association: Letter from Cristeena G. Naser, Senior Counsel, dated April 11, 2011
2. American Council of Engineering Companies: Letter from David A. Raymond, President and CEO, dated April 11, 2011
3. American Federation of State, County and Municipal Employees: Letter from Gerald W. McEntee, International President, dated April 11, 2011
4. American Governmental Financial Services: E-mail from Robert Doty, President, dated April 11, 2011
5. B-Payne Group: Letter from John B. Payne, Principal, dated March 28, 2011
6. Education Finance Council: Letter from Vince Sampson, President, dated April 11, 2011
7. Fi360: Letter from Blaine F. Aikin, CEO, and Kristina A. Fausti, Director of Legal and Regulatory Affairs, dated April 11, 2011
8. Lewis Young Robertson & Burningham, Inc.: Letter from Scott J. Robertson, Principal, dated April 11, 2011
9. Michigan Bankers Association: Letter from Richard D. Lavolette, General Counsel
10. Municipal Regulatory Counsulting LLC: Letter from David Levy, Principal, dated April 11, 2011
11. National Association of Independent Public Finance Advisors: Letter from Colette J. Irwin-Knott, President, dated April 11, 2011
12. Not For Profit Capital Strategies: E-mail from Ed Crouch, dated February 14, 2011
13. Phoenix Advisors, LLC: E-mail from Peter G. Egan, Managing Director, dated March 3, 2011
14. Phoenix Advisors, LLC: E-mail from Peter G. Egan, Managing Director, dated March 4, 2011
15. Public Financial Management: Letter from Joseph J. Connolly, General Counsel, dated April 8, 2011
16. Securities Industry and Financial Markets Association: Letter from Leslie M. Norwood, Managing Director and Associate General Counsel, dated April 11, 2011
17. Wisconsin Bankers Association: Letter from Rose Oswald Poels, Interim CEO/President, dated April 11, 2011
1. American Federation of State, County and Municipal Employees: Letter from Gerald W. McEntee, International President, dated April 11, 2011
2. Bond Dealers of America: Letter from Mike Nicholas, Chief Executive Officer, dated April 11, 2011
3. Municipal Regulatory Consulting LLC: Letter from David Levy, Principal, dated April 11, 2011
4. National Association of Independent Public Finance Advisors: Letter from Colette J. Irwin-Knott, President, dated April 11, 2011
5. Securities Industry and Financial Markets Association: Letter from Leslie M. Norwood, Managing Director and Associate General Counsel, dated April 11, 2011
1. American Federation of State, County and Municipal Employees: Letter from Gerald W. McEntee, International President, dated April 11, 2011
2. American Governmental Financial Services: E-mail from Robert Doty, President, dated April 11, 2011
3. B-Payne Group: Letter from John B. Payne, Principal, dated March 28, 2011
4. Catholic Finance Corporation: Letter from Michael P. Schaefer, Executive Director, dated April 11, 2011
5. Municipal Regulatory Consulting LLC: Letter from David Levy, Principal, dated April 11, 2011
6. National Association of Independent Public Finance Advisors: Letter from Colette J. Irwin-Knott, President, dated April 11, 2011
7. Not For Profit Capital Strategies: E-mail from Ed Crouch, dated February 14, 2011
8. Public Financial Management: Letter from Joseph J. Connolly, General Counsel, dated April 8, 2011
9. Securities Industry and Financial Markets Association: Letter from Leslie M. Norwood, Managing Director and Associate General Counsel, dated April 11, 2011
1. Acacia Financial Group, Inc.: Letter from Kim M. Whelan, Co-President, dated February 25, 2011
2. American Bankers Association: Letter from Cristeena G. Naser, Senior Counsel, dated February 25, 2011
3. American Governmental Financial Services: E-mail from Robert Doty, President, dated March 1, 2011
4. BMO Capital Markets GKST Inc.: Letter from Robert J. Stracks, Counsel, dated February 25, 2011
5. Callcott, W. Hardy: Letter dated February 8, 2011
6. Fisher, Robert: E-mail dated February 25, 2011
7. G.L. Hicks Financial LLC: E-mail from Dareth Goulding, dated January 14, 2011
8. H.J. Umbaugh & Associates: Letter from Gerald G. Malone, dated February 24, 2011
9. National Association of Independent Public Finance Advisors: Letter from Colette Irwin-Knott, President, dated February 24, 2011
10. Repex & Co., Inc.: E-mail from Erich Sokolower, dated January 14, 2011
11. Securities Industry and Financial Markets Association: Letter from Leslie M. Norwood, Managing Director and Associate General Counsel, dated February 25, 2011
12. State of Texas: Letter from Susan Combs, Texas Comptroller of Public Accounts, dated February 25, 2011
13. State of Texas: Letter from Charles B. McDonald, Assistant Attorney General, Office of Attorney General of Texas, dated February 25, 2011
14. T. Rowe Price: Letter from David Oestreicher, Chief Legal Counsel, dated February 25, 2011
15. The PFM Group: Letter from Joseph J. Connolly, General Counsel, dated February 23, 2011
16. WM Financial Strategies: Letter from Joy A. Howard, Principal, dated February 21, 2011
