Select regulatory documents by category:
Bank Dealers, Dealers, Municipal Advisors, Municipal Fund Securities
Bank Dealers, Dealers, Municipal Advisors
Bank Dealers, Dealers, Municipal Advisors
Dealers
Bank Dealers, Dealers, Municipal Advisors, Municipal Fund Securities
Dealers
Bank Dealers, Dealers, Investors, Municipal Advisors
Dealers, Municipal Advisors
Bank Dealers, Dealers
Bank Dealers, Dealers
MSRB Amends Certain Fees for Dealers and Municipal Advisors and Proposes an Annual Rate Card Process
Bank Dealers, Dealers, Issuers
Bank Dealers, Dealers
Bank Dealers, Dealers, Municipal Advisors
Dealers, Municipal Advisors, Municipal Fund Securities
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
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
Bank Dealers, Dealers
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
Bank Dealers, Dealers
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