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Notice 2020-19 - Request for Comment
Publication date: | Comment due:
Information for:

Bank Dealers, Dealers, Municipal Advisors

All Comments to Notice 2020-19

1. 280 Securities LLC: Letter from Wm. Thomas Lockard, Managing Director, dated January 6, 2021

2, American Bankers Association: Letter from Justin M. Underwood dated January 11. 2021

3. American Securities Association: Kelli McMorrow, Head of Government Affairs, dated January 11, 2021

4. Belton, David F.: Letter

5. Bliss, Evan: Email dated January 13, 2021

6. Bond Dealers of America: Letter from Mike Nicholas, Chief Executive Officer, dated January 11, 2021

7. Ceres, Inc.: Letter from Steven M. Rothstein, Managing Director, Ceres Accelerator for Sustainable Capital Markets, dated January 11, 2021

8. Climate Advisory: Letter from Lisa L. Churchill, Founder, dated January 11, 2021

9. Geos Institute: Email from Tonya Graham dated January 11, 2021

10. Global Legal Entity Identifier Foundation: Letter from Stephan Wolf, CEO, dated January 5, 2021

11. Government Finance Officers Association: Letter from Emily Swanson Brock, Director, Financial Liaison Center, dated January 11, 2021

12. National Association of Municipal Advisors: Letter from Susan Gaffney, Executive Director, dated January 11, 2021

13. National Association of State Treasurers: Letter from Shaun Snyder, Executive Director, dated January 11, 2021

14. PFM Financial Advisors LLC: Letter from Leo Karwejna, Managing Director, Chief Compliance Officer, dated January 12, 2021

15. 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 11, 2021

16. Ugarte, Allyson: Letter dated January 11, 2021

17. XBRL US: Letter from Campbell Pryde, President and CEO, dated January 11, 2021

Notice 2020-02 - Request for Comment
Publication date: | Comment due:
Information for:

Bank Dealers, Dealers, Municipal Advisors

Rule Number:

Rule A-3

All Comments to Notice 2020-02

1. Acacia Financial Group, Inc.: Letter from Kim M. Whelan, Co-President, and Noreen P. White, Co-President, dated April 29, 2020

2. Action Center on Race and the Economy, AFSCME, AFL-CIO, Americans for Financial Reform Education Fund, Consumer Federation of America and Public Citizen: Letter dated April 29, 2020

3. Bond Dealers of America: Letter from Mike Nicholas, Chief Executive Officer, dated April 29, 2020

4. Government Finance Officers Association: Letter from Emily Swenson Brock, Director, Federal Liaison Center, dated April 29, 2020

5. Investment Company Institute: Letter from Dorothy Donohue, Deputy General Counsel - Securities Regulation, dated April 15, 2020

6. National Association of Municipal Advisors: Letter from Susan Gaffney, Executive Director, dated April 29, 2020

7. National Association of State Auditors, Comptrollers and Treasurers: Letter from Beth Pearce, President, dated April 30, 2020

8.  National Association of State Treasurers: Letter from Shaun Snyder, Executive Director, dated April 28, 2020

9. National Federation of Municipal Analysts: Letter from Nicole Byrd, Chair, dated April 29, 2020

10. 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 April 29, 2020

11. Steve Apfelbacher, Renee Boicourt, Marianne Edmonds, Robert Lamb, Nathaniel Singer and Noreen White [former MSRB Board members]: Letter dated April 29, 2020

Notice 2011-63 - Request for Comment
Publication date: | Comment due:

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

Notice 2011-50 - Request for Comment
Publication date: | Comment due:
Rule Number:

Rule G-8, Rule G-9


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

Notice 2011-41 - Request for Comment
Publication date: | Comment due:
Notice 2011-42 - Request for Comment
Publication date: | Comment due:


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

Notice 2011-34 - Request for Comment
Publication date: | Comment due:
Rule Number:

Rule A-11

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

Notice 2011-33 - Request for Comment
Publication date: | Comment due:

  1. Coalition of Mutual Fund Investors: Letter from Niels Holch, Executive Director, dated August 31, 2011
  2. College Savings Foundation: Letter from Roger Michaud, Chairman, dated August 31, 2011
  3. College Savings Plans Network: Letter from Joan Marshall, Chair, dated August 31, 2011
  4. Investment Company Institute: Letter from Tamara K. Salmon, Senior Associate Counsel, dated August 31, 2011
  5. Morningstar, Inc.: Letter from Laura Pavlenko Lutton, Editorial Director, Fund Research Group, dated August 31, 2011
  6. Securities Industry and Financial Markets Association: Letter from David L. Cohen, Managing Director, Associate General Counsel, dated August 26, 2011
  7. Stable Value Consultants: E-mail from Christopher B. Tobe, dated July 21, 2011
  8. Sutherland Asbill & Brennan LLP: Letter from Michael Koffler, dated August 31, 2011
  9. Virginia College Savings Plan: Letter from Mary G. Morris, Chief Executive Officer, dated August 31, 2011
  10. Wells Fargo Funds Management, LLC: Letter from Andrew N. Owen, Executive Vice President, dated August 31, 2011
     
Notice 2011-28 - Request for Comment
Publication date: | Comment due:
Rule Number:

Rule G-8, Rule G-9

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

Notice 2011-18 - Request for Comment
Publication date: | Comment due:


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

Notice 2011-16 - Request for Comment
Publication date: | Comment due:


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

Notice 2011-12 - Request for Comment
Publication date: | Comment due:
Rule Number:

Rule G-17


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

Notice 2011-13 - Request for Comment
Publication date: | Comment due:
Rule Number:

Rule G-17

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

Notice 2011-14 - Request for Comment
Publication date: | Comment due:


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

Notice 2011-04 - Request for Comment
Publication date: | Comment due:

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

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