Select regulatory documents by category:

Regulatory Document Type

Compliance Resource
Publication date:
Information for:

Bank Dealers, Dealers, Municipal Advisors, Municipal Fund Securities

Rule Number:

Rule A-12

Notice 2022-14 - Informational Notice
Publication date:
Information for:

Bank Dealers, Dealers, Municipal Advisors

Rule Number:

Rule A-12

Notice 2022-12 - Informational Notice
Publication date:
Compliance Resource
Publication date:
Notice 2022-10 - Informational Notice
Publication date:
Information for:

Bank Dealers, Dealers, Municipal Advisors, Municipal Fund Securities

Notice 2022-09 - Informational Notice
Publication date:
Notice 2022-08 - Approval Notice
Publication date:
Notice 2022-06 - Informational Notice
Publication date:
Information for:

Dealers, Municipal Advisors

Notice 2022-05 - Informational Notice
Publication date:
Notice 2022-04 - Informational Notice
Publication date:
Notice 2022-03 - Informational Notice
Publication date:
Compliance Resource
Publication date:
Information for:

Dealers, Investors

Rule Number:

Rule G-32

Notice 2022-02 - Informational Notice
Publication date:
Notice 2022-01 - Informational Notice
Publication date:
Compliance Resource
Publication date:
Information for:

Dealers, Municipal Advisors, Municipal Fund Securities

Rule Number:

Rule A-12

Notice 2012-64 - Informational Notice
Publication date:
Notice 2012-63 - Request for Comment
Publication date: | Comment due:
Information for:

Bank Dealers, Dealers, Municipal Advisors


1.  American Council of Engineering Companies: Letter from David A. Raymond, President and CEO, dated February 7, 2013

2.  Cooperman Assoc.: E-mail from Josh Cooperman dated December 18, 2012

3.  Financial Information Forum: Letter from Arsalan Shahid, Program Director, dated February 19, 2013

4.  Financial Services Institute: Letter from David T. Bellaire, Executive Vice President and General Counsel, dated February 19, 2013

5.  FirstSouthwest: Letter from Hill A. Feinberg, Chairman and Chief Executive Officer, and Michael Bartolotta, Vice Chairman, dated February 19, 2013

6.  Government Finance Officers Association: Letter from Dustin McDonald, Director, Federal Liaison Center, dated March 5, 2013

7.  Investment Company Institute: Letter from Tamara K. Salmon, Senior Associate Counsel, dated February 19, 2013

8.  McCarthy, Thomas: E-mail dated December 27, 2012

9.  National Association of Bond Lawyers: Letter from Scott R. Lilienthal, President, dated February 22, 2013

10.  National Federation of Municipal Analysts: Letter from William Oliver, Industry & Media Liaison, dated March 6, 2013

11.  Sanderlin Securities: Letter from Dan Mayfield

12.  Securities Industry and Financial Markets Association: Letter from David L. Cohen, Managing Director, Associate General Counsel, dated February 19, 2013

13.  Sutherland Asbill & Brennan LLP: Letter from Michael Koffler dated February 19, 2013

14.  Vanguard: Letter from John C. Heywood, Principal, Retail Investor Group, dated February 19, 2013

15.  Wells Fargo Advisors, LLC: Letter from Robert J. McCarthy, Director of Regulatory Policy, dated February 19, 2013

16.  Wells Fargo Securities: Letter from Gerald K. Mayfield, Senior Counsel, dated February 19, 2013

Notice 2012-62 - Informational Notice
Publication date:
Notice 2012-61 - Request for Comment
Publication date: | Comment due:
Information for:

Bank Dealers, Dealers


1.  Bond Dealers of America: Letter from Michael Nicholas, Chief Executive Officer, dated February 8, 2013

2.  Government Finance Officers Association: Letter from Dustin McDonald, Director, Federal Liaison Center, dated February 13, 2013

3.  Investment Company Institute: Letter from Dorothy Donohue, Deputy General Counsel - Securities Regulation, dated February 8, 2013

4.  National Association of Independent Public Finance Advisors: Letter from Jeanine Rodgers Caruso, President, dated February 8, 2013

5.  National Federation of Municipal Analysts: Letter from William Oliver, Industry and Media Liaison, dated February 4, 2013

6.  Securities Industry and Financial Markets Association: Letter from David L. Cohen, Managing Director, Associate General Counsel, dated February 8, 2013

Notice 2012-60 - Informational Notice
Publication date:
Notice 2012-59 - Request for Comment
Publication date: | Comment due:
Information for:

Bank Dealers, Dealers

1. Coalition of Mutual Fund Investors: Letter from Niels Holch, Executive Director, dated December 21, 2012

2. College Savings Foundation: Letter from Roger Michaud, Chairman, dated December 21, 2012

3. College Savings Plans Network: Letter from Hon. Michael L. Fitzgerald, Treasurer of Iowa and Chairman, College Savings Plans Network, dated December 21, 2012

4. College Savings Plans of Maryland: Letter from Joan Marshall, Executive Director, dated December 20, 2012

5. Financial Research Corporation: Letter from Paul Curley, Director of College Savings Research, dated December 17, 2012

6. Investment Company Institute: Letter from Tamara K. Salmon, Senior Associate Counsel, dated December 20, 2012

7. Securities Industry and Financial Markets Association: Letter from David L. Cohen, Managing Director and Associate General Counsel, dated December 21, 2012

8. Utah Educational Savings Plan: Letter from Lynne N. Ward, Executive Director, dated December 19, 2012

Notice 2012-58 - Request for Comment
Publication date: | Comment due:
Information for:

Bank Dealers, Dealers

Rule Number:

Rule G-11

1. Municipal Electric Authority of Georgia: Letter from James E. Fuller, Senior Vice President and Chief Financial Officer, dated December 21, 2012

2. National Association of Independent Public Finance Advisors: Letter from Jeanine Rodgers Caruso, President, dated December 21, 2012

Notice 2012-57 - Informational Notice
Publication date:
Information for:

Bank Dealers, Dealers

Rule Number:

Rule G-3

Notice 2012-53 - Informational Notice
Publication date:
Information for:

Bank Dealers, Dealers

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