Select regulatory documents by category:
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
Bank Dealers, Dealers, Municipal Advisors
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
1. Bernardi Securities, Inc.: Letter from Eric Bederman, SVP, Chief Operating & Compliance Officer, dated November 17, 2015
2. Bond Dealers of America: Letter from Michael Nicholas, Chief Executive Officer, dated December 10, 2015
3. Brandis Tallman LLC: Letter from Richard Brandis
4. Castle Advisory Company: E-mail from Garth Schulz dated November 10, 2015
5. Coastal Securities: E-mail from Chris Melton, Executive Vice President, dated December 10, 2015
6. Financial Services Institute: Letter from David T. Bellaire, Executive Vice President & General Counsel, dated December 10, 2015
7. Geraldine Lettieri: E-mail dated November 10, 2015
8. Investment Company Institute: Letter from Martin A. Burns, Chief Industry Operations Officer, dated December 1, 2015
9. Securities Industry and Financial Markets Association: Letter from Leslie M. Norwood, Managing Director and Associate General Counsel, dated December 10, 2015
Bank Dealers, Dealers, Municipal Advisors
1. Bond Dealers of America: Letter from Michael Nicholas, Chief Executive Officer, dated November 19, 2015
2. National Association of Municipal Advisors: Letter from Terri Heaton, President, dated November 19, 2015
3. Office of the Investor Advocate, U.S. Securities and Exchange Commission: Letter from Rick A. Fleming, Investor Advocate, dated October 29, 2015
4. Securities Industry Financial Markets Association: Letter from Michael Decker, Managing Director, dated November 19, 2015
5. Stephen Heaney: E-mail dated November 10, 2015
Bank Dealers, Dealers
1. Aaron Botbyl: E-mail dated October 9, 2015
2. Bernardi Securities, Inc.: Letter from Eric Bederman, SVP, Chief Operating & Compliance Officer, dated December 4, 2015
3. Bond Dealers of America: Letter from Michael Nicholas, Chief Executive Officer, dated December 11, 2015
4. CFA Institute: Letter from Kurt N. Schacht, Managing Director, Standards and Financial Market Integrity, and Linda L. Rittenhouse, Director, Capital Markets Policy, dated December 11, 2015
5. Charles Schwab & Co. Inc.: Letter from Jason Clague, Senior Vice President, Trading & Middle Office Services, dated December 11, 2015
7. Christopher [last name withheld]: E-mail dated September 25, 2015
8. Consumer Federation of America: Letter from Micah Hauptman, Financial Services Counsel, dated December 11, 2015
9. Diamant Investment Corporation: Letter from Herbert Diamant, President, dated November 30, 2015
10. Fidelity Investments: Letter from Norman L. Ashkenas, Chief Compliance Officer, Fidelity Brokerage Services, LLC, and Richard J. O'Brien, Chief Compliance Officer, National Financial Services, LLC, dated December 11, 2015
11. Financial Information Forum: Letter from Darren Wasney, Program Manager, dated December 11, 2015
12. Financial Services Institute: Letter from David T. Bellaire, Executive Vice President & General Counsel, dated December 11, 2015
13. Gerald Heilpern: Letter
14. Jonathan Bricker: E-mail dated October 20, 2015
15. LPL Financial LLC: Letter from David P. Bergers, General Counsel, dated December 10, 2015
16. Morgan Stanley Smith Barney LLC: Letter from Elizabeth Dennis, Managing Director, dated December 11, 2015
17. Office of the Investor Advocate, U.S. Securities and Exchange Commission: Letter from Rick A. Fleming, Investor Advocate, dated December 11, 2015
18. Patrick Luby: Letter dated December 11, 2015
19. Public Investors Arbitration Bar Association: Letter from Hugh D. Berkson, President, dated December 8, 2015
20. RBC Capital Markets, LLC: Letter from David L. Cohen, Senior Counsel and Director, dated December 15, 2015
21. RW Smith & Associates, LLC: Letter from Paige W. Pierce, President & CEO, dated December 11, 2015
22. Securities Industry and Financial Markets Association: Letter from Sean Davy, Managing Director, Capital Markets Division, and Leslie M. Norwood, Managing Director & Associate General Counsel, Municipal Securities Division, dated December 11, 2015
23. Thomson Reuters: Letter from Manisha Kimmel, Chief Regulatory Officer, Wealth Management, dated December 11, 2015
24. TMC Bonds, LLC: Letter from Thomas S. Vales, Chief Executive Officer, dated December 11, 2015
25. Wells Fargo Advisors, LLC: Letter from Robert J. McCarthy, Director of Regulatory Policy, dated December 11, 2015
Bank Dealers, Dealers, Municipal Advisors
1. American Governmental Financial Services: E-mail from Robert Doty dated August 24, 2015
2, Andrew Glassberg: E-mail dated August 17, 2015
3. Association for Budgeting and Financial Management: Letter from Robert Kravchuk, Chair, et al., dated September 13, 2015
4. Bond Dealers of America: Letter from Michael Nicholas, Chief Executive Officer, dated August 24, 2015
5. Brandeis University: Letter from Daniel Bergstresser, Associate Professor of Finance, dated September 14, 2015
6. Coastal Securities: E-mail from Chris Melton, Executive Vice President, dated August 5, 2015
7. George Mason University: Letter from Jonathan L. Gifford, Professor and Director of Center for Transportation P3 Policy, dated September 1, 2015
8. John Mousseau: E-mail dated July 29, 2015
9. Larry Harris: Letter dated September 6, 2015
10. New York University: Letter from Norman White, Clinical Professor, et al., dated September 16, 2015
11. Pennsylvania State University: Letter from Patrick J. Cusatis, Associate Professor of Finance, dated September 10, 2015
12. Securities Industry and Financial Markets Association: Letter from Sean Davy, Managing Director, Capital Markets Division, and David L. Cohen, Managing Director and Associate General Counsel, Municipal Securities Division, dated September 11, 2015
13. University of Louisville: Letter from James R. Ramsey, President, dated September 4, 2015
Bank Dealers, Dealers, Municipal Advisors
1. Americans for Financial Reform; American Federation of State, County and Municipal Employees; and Consumer Federation of America: Letter dated July 13, 2015
2. Government Finance Officers Association: Letter from Dustin McDonald, Director, Federal Liaison Center, dated July 20, 2015
3. Investment Company Institute: Letter from Dorothy Donohue, Deputy General Counsel--Securities Regulation, dated July 13, 2015
4. Jay M. Goldstone: Letter dated July 10, 2015
5. Jerry Gold: Letter dated July 17, 2015
6. Lamont Financial Services Corporation: Letter from Bob Lamb, President, dated July 7, 2015
7. Loews Corporation: Letter from Mark G. Muller dated July 1, 2015
8. National Association of Municipal Advisors: Letter from Terri Heaton, President, dated July 13, 2015
9. National Federation of Municipal Analysts: Letter from Lisa S. Good, Executive Director, dated July 13, 2015
10. Office of the Investor Advocate, U.S. Securities and Exchange Commission: Letter from Rick A. Fleming, Investor Advocate, dated July 13, 2015
11. Robert E. Rutkowski: E-mail dated July 13, 2015
12. Robert Zubak: Letter dated July 6, 2015
13. Samson Capital Advisors: Letter from Benjamin S. Thompson, Managing Principal and Chief Executive Officer, dated July 7, 2015
14. Securities Industry and Financial Markets Association: Letter from Michael Decker, Managing Director, dated July 13, 2015
15. Wells Capital Management Incorporated: Letter from Gilbert L. Southwell III, Vice President, dated July 8, 2015
