Select regulatory documents by category:
Issuers, Municipal Advisors
All Comments to Notice 2022-13
- National Association of Municipal Advisors: Letter from Susan Gaffney, Executive Director, dated January 30, 2023
- Securities Industry and Financial Markets Association: Letter from Leslie M. Norwood, Managing Director and Associate General Counsel, dated January 30, 2023
- Wulff, Hansen & Co.: Letter from Chris Charles, President, dated December 29, 2022
All Comments to Notice 2022-11
- Bond Dealers of America: Letter from Michael Decker, Senior Vice President, January 17, 2023
- Securities Industry and Financial Markets Association: Letter from Leslie M. Norwood, Managing Director and Associate General Counsel, dated January 27, 2023
- XBRL US: Letter from Campbell Pryde, President and CEO, dated December 15, 2022
Bank Dealers
All Comments to Notice 2022-07
- American Securities Association: Letter from Kelli McMorrow, Head of Government Affairs, dated September 30, 2022
- Amuni Financial, Inc.: Letter from Mike Petagna, President, dated August 23, 2022
- Bailey, Bill: Email dated August 4. 2022
- Belle Haven Investments, L.P.: Letter from Matt Dalton, Chief Executive Officer, dated October 3, 2022
- Bernardi Securities, Inc.: Letter from Ronald P. Bernardi, President and CEO, dated September 30, 2022
- Bond Dealers of America: Letter from Michael Decker, Senior Vice President for Public Policy, dated October 3, 2022
- Bryant Bank: Letter from David Long, Executive Vice President, Correspondent Banking/Capital Markets, and Vincent Webb, Managing Director, Bryant Bank Capital Markets, dated September 28, 2022
- Cantella & Co., Inc.: Email from Jay Lanstein, Chief Executive Officer and Chief Technology Officer, dated September 16, 2022
- Cantone Research, Inc.: Email from Maryann Cantone dated August 2, 2022
- Colwell, J.D.: Letter dated September 9, 2022
- DeRobbio, Raymond: Email dated August 3, 2022
- Dimensional Fund Advisors LP: Letter from Gerard O’Reilly, Co-CEO and Chief Investment Officer, and David A. Plecha, Global Head of Fixed Income, dated September 26, 2022
- Falcon Square Capital, LLC: Letter from Melissa P. Hoots, CEO/CCO, dated October 3, 2022
- Financial Information Forum: Letter from Howard Meyerson, Managing Director, dated October 3, 2022; Supplemental Letter from Howard Meyerson, Managing Director, dated April 27, 2023
- Ford & Associates, Inc.: Letter from Jonathan W. Ford, Senior Vice President, dated September 9, 2022
- Hartfield, Titus & Donnelly, LLC: Letter from Edward J. Smith, General Counsel and Chief Compliance Officer, dated September 14, 2022
- Herbert J. Sims & Co., Inc.: Letter from Melissa Messina, Executive Vice President, Associate General Counsel, R. Jeffrey Sands, Managing Principal, General Counsel, and William Sims, Managing Principal, dated October 3, 2022
- Higgins Capital Management, Inc.: Email from Deborah Higgins dated September 19, 2022
- Hilltop Securities: Letter from Lana Calton, Executive Managing Director, Head of Clearing, dated October 3, 2022
- Honey Badger Investment Securities, LLC: Letter from Joe Lee, CEO, dated September 30, 2022
- ICE Bonds Securities Corporation: Letter from Robert Laorno, General Counsel, dated September 30, 2022
- InspereX LLC: Letter from Robert D. Bullington, Vice President, Compliance Officer, dated October 3, 2022
- Institutional Securities Corporation: Letter from Scott Hayes, President and CEO, and Chris Neidlinger, CCO, dated September 30, 2022
- Investment Company Institute: Letter from Sarah A. Bessin, Associate General Counsel, dated October 3, 2022
- Investment Placement Group: Email from Darius Lashkari dated August 2, 2022
- Isaak Bond Investments: Letter from John Isaak, Sr. Vice President, dated August 16, 2022
- Isaak Bond Investments, Inc.: Letter from Donald J. Lemek, VP-Operations and CFO
- Kiley Partners, Inc.: Email from Mike Kiley, Owner, dated September 27, 2022
- Madison Paige Securities: Letter from Gary Herschitz, CEO, dated September 30, 2022
- Mayes, Christopher: Email dated September 27, 2022
- Municipal Securities Rulemaking Board: Memorandum dated September 12, 2022
- Northland Securities Inc.: Letter from Randy Nitzsche, President and CEO, dated October 3, 2022
- Oberweis Securities, Inc.: Letter from James W. Oberweis, President, dated September 28, 2022
- Robert Blum Municipals, Inc.: Letter from Robert Blum, President, dated September 16, 2022
- Roosevelt & Cross, Inc.: Letter from F. Gregory Finn, Chief Executive Officer, dated October 3, 2022
- RW Smith & Associates, LLC: Letter from Christopher Ferreri, President, dated September 13, 2022
- SAMCO Capital Markets, Inc.: Letter from Lee Maverick, Chief Compliance Officer, dated September 30, 2022
- Sanderlin Securities LLC: Letter from Matthew Kamler, President, dated September 27, 2022
- Securities Industry and Financial Markets Association and the SIFMA Asset Management Group: Letter from Kenneth E. Bentsen, Jr., President and CEO, dated October 3, 2022
- Sentinel Brokers Company, Inc.: Letter from Joseph Lawless, CEO, dated September 30, 2022
- Sheedy, Edward: Email dated August 2, 2022
- Stern Brothers and Co.: Letter dated October 3, 2022
- TRADEliance, LLC: Letter from Jesy LeBlanc and Kat Miller dated September 28, 2022
- Tuma, William: Email dated August 8, 2022
- Wells Fargo & Company: Letter from Nyron Latif, Head of Operations, Wells Fargo Wealth and Investment Management, and Todd Primavera, Head of Operations, Wells Fargo Corporate and Investment Bank, dated October 3, 2022
- Wiley Bros.-Aintree Capital, LLC: Letter from Keener Billups, Managing Director, Municipal Bond Department, dated September 20, 2022
- Wintrust Investments, LLC: Email from Thomas Kiernan dated August 2, 2022
- Zia Corporation: Email from Glenn Burnett dated September 6, 2022
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
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
Bank Dealers, Dealers, Municipal Advisors
1. Bond Dealers of America: Letter from Michael Nicholas, Chief Executive Officer, dated November 2, 2012
2. Dorsey & Company, Inc.: Letter from Steven Rueb, Vice President, dated November 14, 2012
3. Edward D. Jones & Co., L.P.: Letter from David Fischer-Lodike, Capital Markets & Operations Compliance, dated November 2, 2012
4. Financial Planning Association: Letter from David A. Cohen, Assistant Director - Government Relations, dated November 2, 2012
5. Government Finance Officers Association: Letter from Susan Gaffney, Director, Federal Liaison Center, dated November 5, 2012
6. Investment Company Institute: Letter from Dorothy Donohue, Deputy General Counsel - Securities Regulation, dated November 2, 2012
7. National Association of Independent Public Finance Advisors: Letter from Jeanine Rodgers Caruso, President, dated November 2, 2012
8. Rhode Island Health and Educational Building Corporation: Letter from Robert E. Donovan, Executive Director, dated October 15, 2012
9. Securities Industry and Financial Markets Association: Letter from David L. Cohen, Managing Director, Associate General Counsel, dated November 2, 2012
10. Vanguard: Letter from Christopher Alwine, Head of Municipal Bond Group, dated November 2, 2012
1. Barclays: Letter from Robert Taylor, Managing Director, Head of Municipal Finance, dated September 17, 2012
2. California Association of County Treasurers and Tax Collectors: Letter from Wayne Hammar, President, dated September 13, 2012
3. Center for Competitive Politics: Letter from Allen Dickerson, Legal Director, dated September 17, 2012
4. Government Financial Strategies Inc.: Letter from Robert W. Doty, General Counsel, dated September 17, 2012
5. Magis Advisors: Letter from Timothy J. Schaefer, President/Principal Owner, dated September 14, 2012
6. Morgan Stanley: Letter from Stratford Shields, Managing Director, dated September 17, 2012
7. National Association of Independent Public Finance Advisors: Letter from Colette J. Irwin-Knott, President, dated September 17, 2012
8. Securities Industry and Financial Markets Association: Letter from Leslie M. Norwood, Managing Director and Associate General Counsel, dated September 17, 2012
1. Bond Dealers of America: Letter from Michael Nicholas, Chief Executive Officer, dated September 21, 2012
2. Charles Schwab & Co. Inc.: Letter from Bari Havlik, Senior Vice President and Chief Compliance Officer, dated September 21, 2012
3. Cooley, Bruce: Letter
4. Fidelity Investments: Letter from David A. Forman, Vice President and General Counsel, dated September 21, 2012
5. Investment Company Institute: Letter from Tamara K. Salmon, Senior Associate Counsel, dated September 21, 2012
6. Securities Industry and Financial Markets Association: Letter from David L. Cohen, Managing Director and Associate General Counsel, dated September 21, 2012
7. TD Ameritrade, Inc.: Letter from John S. Markle, Deputy General Counsel, dated September 26, 2012
8. Wells Fargo Advisors: Letter from Ronald C. Long, Director of Regulatory Affairs, dated September 21, 2012
Bank Dealers, Dealers, Municipal Fund Securities
1. College Savings Plans Network and College Savings Foundation: Letter from Hon. Michael L. Fitzgerald, Treasurer of Iowa and Chairman, College Savings Plans Network, and Roger Michaud, Chairman, College Savings Foundation, dated September 14, 2012
2. College Savings Plans of Maryland: Letter from Joan Marshall, Executive Director, dated September 14, 2012
3. Financial Research Corporation: Letter dated August 29, 2012
4. Investment Company Institute: Letter from Tamara K. Salmon, Senior Associate Counsel, dated September 14, 2012
5. Securities Industry and Financial Markets Association: Letter from David L. Cohen, Managing Director and Associate General Counsel, dated September 14, 2012
6. Sutherland Asbill & Brennan LLP: Letter from Michael Koffler, dated September 14, 2012
7. Utah Educational Savings Plan: Letter from Lynne N. Ward, Executive Director, dated September 14, 2012
Bank Dealers, Dealers
1. Investment Company Institute: Letter from Dorothy Donohue, Deputy General Counsel - Securities Regulation, dated August 10, 2012
2. Municipal Electric Authority of Georgia: Letter from James E. Fuller, Senior Vice President and Chief Financial Officer, dated August 13, 2012
3. National Association of Independent Public Finance Advisors: Letter from Colette J. Irwin-Knott, President, dated August 13, 2012
4. National Federation of Municipal Analysts: Letter from Lisa Good, Executive Director, dated July 30, 2012
5. New York City Municipal Water Finance Authority: Letter from Thomas G. Paolicelli, Executive Director, dated July 24, 2012
6. Nuveen Asset Management: Letter from Cadmus Hicks, Managing Director, dated August 7, 2012
7. Rhode Island Health and Educational Building Corporation: Letter from Robert E. Donovan, Executive Director, dated July 24, 2012
8. Securities Industry and Financial Markets Association: Letter from Leslie M. Norwood, Managing Director and Associate General Counsel, dated August 13, 2012
9. Standish Mellon Asset Management: E-mail from David Belton dated August 9, 2012
1. Benchmark Solutions: Letter from Jim Toffey, Chief Executive Officer, dated June 7, 2012
2. Bond Dealers of America: Letter from Michael Nicholas, Chief Executive Officer, dated July 2, 2012
3. Government Finance Officers Association: Letter from Susan Gaffney, Director, Federal Liaison Center, dated July 2, 2012
4. Investment Company Institute: Letter from Dorothy Donohue, Deputy General Counsel-Securities Regulation, dated June 29, 2012
5. Securities Industry and Financial Markets Association: Letter from Michael Decker, Managing Director and Co-Head of Municipal Securities, dated June 29, 2012
6. Stifel Nicolaus & Company, Incorporated: Letter from Kenneth E. Williams, Executive Vice-President, Director of Municipal Finance Group, dated June 27, 2012
1. American Bankers Association and ABA Securities Association: Letter from Cristeena G. Naser, Associate General Counsel, dated August 16, 2012
2. Bond Dealers of America: Letter from Michael Nicholas, Chief Executive Officer, dated July 30, 2012
3. Bondview.com, LLC: Letter from Robert Kane, Chief Executive Officer, dated June 15, 2012
4. First Southwest: Letter from Robert Coulter, Senior Vice President and Chief Administrative Officer, dated July 24, 2012
5. Government Finance Officers Association: Letter from Susan Gaffney, Director, Federal Liaison Center, dated August 1, 2012
6. Investment Company Institute: Letter from Tamara K. Salmon, Senior Associate Counsel, dated July 30, 2012
7. Monument Group: Letter from Molly M. Diggins, General Counsel, dated July 31, 2012
8. National Association of Bond Lawyers: Letter from Kristin H.R. Franceschi, President, dated July 31, 2012
9. National Association of Independent Public Finance Advisors: Letter from Colette J. Irwin-Knott, President, dated July 31, 2012
10. Securities Industry and Financial Markets Association: Letter from Leslie M. Norwood, Managing Director and Associate General Counsel, dated July 31, 2012
1. Securities Industry and Financial Markets Association: Letter from Leslie M. Norwood, Managing Director and Associate General Counsel, dated May 8, 2012
2. TD Securities (USA) LLC: E-mail from Frank Alessandro dated May 8, 2012
1. Bond Dealers of America: Letter from Michael Nicholas, Chief Executive Officer, dated April 10, 2012
2. Full Life Financial LLC: Letter from Keith Newcomb, Portfolio Manager, dated April 14, 2012
3. Government Finance Officers Association: Letter from Susan Gaffney, Director, Federal Liaison Center, dated April 6, 2012
4. Kious and Co.: E-mail from Michael Kious dated March 13, 2012
5. M. E. Allison & Co., Inc.: Letter from Christopher R. Allison, Chief Financial Officer, dated March 13, 2012
6. McGuirk, Hugh: E-mail dated March 14, 2012
7. National Association of Independent Public Finance Advisors: Letter from Colette J. Irwin-Knott, President, dated April 9, 2012
8. Oppenheimer & Co. Inc.: Letter from Allison F. Fleitas II, Managing Director, Municipal Capital Markets Group
9. UMB Bank, N.A.: E-mail from Kristin Koziol dated March 30, 2012
1. Alamo Capital: E-mail from Bill Mullally dated March 9, 2012
2. Bond Dealers of America: Letter from Michael Nicholas, Chief Executive Officer, dated April 13, 2012
3. CFA Institute: Letter from Kurt N. Schacht, Managing Director, Standards and Financial Market Integrity, and James C. Allen, Head, Capital Markets Policy, dated April 13, 2012
4. Edward D. Jones & Co., L.P.: Letter from David E. Fischer-Lodike, Capital Markets and Operations Compliance, dated April 13, 2012
5. Full Life Financial LLC: Letter from Keith Newcomb, Portfolio Manager, dated April 13, 2012
6. Government Finance Officers Association: Letter from Susan Gaffney, Director, Federal Liaison Center, dated April 13, 2012
7. Investment Company Institute: Letter from Dorothy Donohue, Deputy General Counsel-Securities Regulation, dated April 13, 2012
8. Li, Richard: Letter dated March 7, 2012
9. Melton, Chris: E-mail dated April 13, 2012
10. National Association of Independent Public Finance Advisors: Letter from Colette J. Irwin-Knott, President, dated April 13, 2012
11. Securities Industry and Financial Markets Association: Letter from David L. Cohen, Managing Director, Associate General Counsel, dated April 13, 2012
12. Thornburg Investment Management: Letter from Josh Gonze, Chris Ryon, and Chris Ihlefeld, Co-Portfolio Managers, dated March 12, 2012
13. Vanguard: Letter from Christopher Alwine, Head of Municipal Bond Group, dated April 13, 2012
14. Wells Fargo Advisors: Letter from Ronald C. Long, Director of Regulatory Affairs, dated April 13, 2012
1. Broadridge Financial Solutions, Inc.: Letter from Charles V. Callan, Chief Regulatory Officer, dated April 2, 2012
2. College Savings Foundation: Letter from Roger Michaud, Chairman, dated April 2, 2012
3. College Savings Plans Network: Letter from Michael L. Fitzgerald, Chair, College Savings Plans Network, & State Treasurer of Iowa, dated April 2, 2012
4. Commonwealth Financial Network: Letter from Brendan Daly, Legal and Compliance Counsel, dated March 30, 2012
5. Consumer Federation of America: Letter from Barbara Roper, Director of Investor Protection, dated May 7, 2012
6. Investment Company Institute: Letter from Tamara K. Salmon, Senior Associate Counsel, dated April 2, 2012
7. Securities Industry and Financial Markets Association: Letter from David L. Cohen, Managing Director and Associate General Counsel, dated April 2, 2012
8. Sutherland Asbill & Brennan LLP: Letter from Michael Koffler dated April 2, 2012
9. T. Rowe Price Associates, Inc.: Letter from David Oestreicher, Chief Legal Counsel, and Regina M. Watson, Senior Associate Counsel, dated April 2, 2012
10. Utah Educational Savings Plan: Letter from Lynne N. Ward, Executive Director, dated April 2, 2012
11. Virginia College Savings Plan: Letter from Mary G. Morris, Chief Executive Officer, dated April 2, 2012
1. BondView: Letter from Robert Kane, CEO, dated March 5, 2012
2. Government Finance Officers Association: Letter from Susan Gaffney, Director, Federal Liaison Center, dated March 9, 2012
3. Haynsworth Sinkler Boyd, P.A.: Letter from Kathleen Crum McKinney and Theodore B. DuBose, dated March 5, 2012
4. Ice Miller LLP: Letter from Philip C. Genetos dated March 6, 2012
5. Indiana Housing & Community Development Authority: Letter from Blake A. Blanch, Chief Financial Officer
6. Indianapolis Airport Authority: Letter from Joseph R. Heerens, Chief Legal Officer, dated March 6, 2012
7. Los Angeles County Metropolitan Transportation Authority: Letter from Michael J. Smith, Assistant Treasurer
8. National Association of Bond Lawyers: Letter from Kristin H.R. Franceschi, President, dated March 8, 2012
9. National Federation of Municipal Analysts: Letter from Lisa Good, Executive Director, dated March 26, 2012
10. Squire Sanders LLP: Letter dated March 6, 2012
