Select regulatory documents by category:
Notice 2021-16 - Informational Notice
Publication date:
Notice 2021-15 - Informational Notice
Publication date:
Information for:

Bank Dealers, Dealers, Municipal Advisors, Municipal Fund Securities

Notice 2021-14 - Informational Notice
Publication date:
Information for:

Bank Dealers, Dealers

Rule Number:

Rule G-27

Notice 2021-13 - Informational Notice
Publication date:
Notice 2021-12 - Request for Comment
Publication date: | Comment due:
Information for:

Bank Dealers, Dealers, Municipal Advisors

All Comments to Notice 2021-12

1. Bond Dealers of America: Letter from Michael Decker, Senior Vice President, dated January 19, 2022

2. First River Advisory L.L.C.: Letter from Shelley J. Aronson dated January 18, 2022

3. National Association of Municipal Advisors: Letter from Susan Gaffney, Executive Director, dated January 19, 2022

4. Securities Industry and Financial Markets Association: Letter from Leslie M. Norwood, Managing Director and Associate General Counsel, and Matthew Roberts, Assistant Vice President, dated January 19, 2022

Compliance Resource
Publication date:
Information for:

Bank Dealers, Dealers, Investors

Rule Number:

Rule G-32

Notice 2021-09 - Informational Notice
Publication date:
Information for:

Bank Dealers, Dealers, Municipal Advisors

Rule Number:

Rule A-8

Notice 2021-08 - Request for Comment
Publication date: | Comment due:
Information for:

Bank Dealers, Dealers, Municipal Advisors

All Comments to Notice 2021-08

1. American Securities Association: Letter from Christopher A. Iacovella, Chief Executive Officer, dated June 28, 2021

2. Bond Dealers of America: Letter from Michael Decker, Senior Vice President, dated June 28, 2021

3. Securities Industry and Financial Markets Association: Letter from Leslie M. Norwood, Managing Director and Associate General Counsel, dated June 28, 2021

4. Szaro, Jennifer: Email dated May 17, 2021

Notice 2021-06 - Request for Comment
Publication date: | Comment due:
Information for:

Bank Dealers

Rule Number:

Rule G-19

All Comments to Notice 2021-06

1. American Bankers Association: Letter from Justin M. Underwood, Executive Director - ABASA, Vice President, Banking Policy, dated June 2, 2021

2. American Securities Association: Letter from Christopher A. Iacovella, Chief Executive Officer, dated May 27, 2021

3. Capital Markets Group of Commerce Bank: Letter from Erik Swanson, Managing Director, and Joseph Reece, Chief Compliance Officer

4. Securities Industry and Financial Markets Association: Letter from Leslie M. Norwood, Managing Director and Associate General Counsel, dated June 2, 2021

Notice 2021-05 - Informational Notice
Publication date:
Information for:

Bank Dealers, Dealers

Rule Number:

Rule A-13

Notice 2021-04 - Informational Notice
Publication date:
Information for:

Bank Dealers, Dealers

Rule Number:

Rule G-32

Notice 2021-03 - Informational Notice
Publication date:
Notice 2021-02 - Informational Notice
Publication date:
Notice 2021-01 - Informational Notice
Publication date:
Notice 2016-29 - Informational Notice
Publication date:
Notice 2016-28 - Approval Notice
Publication date:
Notice 2016-27 - Informational Notice
Publication date:
Notice 2016-26 - Informational Notice
Publication date:
Information for:

Bank Dealers, Dealers, Municipal Advisors

Notice 2016-25 - Request for Comment
Publication date: | Comment due:
Information for:

Bank Dealers, Municipal Advisors

1.  Bond Dealers of America: Letter from Mike Nicholas, CEO, dated November 10, 2016

2.  Center for Municipal Finance: Letter from Marc D. Joffe dated November 6, 2016

3.  City of New York: Letter from Prescott D. Ulrey, General Counsel, New York City Office of Management and Budget, and Al Rodriguez, Chief, Municipal Finance Division, New York City Law Department, dated November 11, 2016

4.  City of New York, Office of the Comptroller: Letter from Tim Martin, Assistant Comptroller for Public Finance, dated November 11, 2016

5.  Darcy Versions I and II: E-mail from G. Letti dated October 12, 2016

6.  Financial Services Institute: Letter from Robin Traxler, Vice President, Regulatory Affairs and Associate General Counsel, dated November 11, 2016

7.  Government Finance Officers Association: Letter from Emily Swenson Brock, Director, Federal Liaison Center, dated November 10, 2016

8.  Kevin M. Bronner: Letter dated November 11, 2016

9.  Michael Paganini: E-mail dated October 12, 2016

10. National Association of Municipal Advisors: Letter from Susan Gaffney, Executive Director, dated November 14, 2016

11.  National Association of State Treasurers: Letter from Hon. James McIntire, President, dated November 16, 2016

12.  National Federation of Municipal Analysts: Letter from Lisa Washburn, Chair, dated November 10, 2016

13.  Richard Li: E-mail (1) and E-mail (2) dated October 13, 2016

14.  San Francisco International Airport: Letter from Kevin Kone, Managing Director, Finance, dated November 10, 2016

15.  Securities Industry and Financial Markets Association: Letter from Michael Decker, Managing Director, dated November 11, 2016

16.  Sunlight Foundation: Letter from Noel Isama, Policy Associate, dated November 10, 2016

17.  Wells Fargo Advisors, LLC: Letter from Robert J. McCarthy, Director of Regulatory Policy, dated November 11, 2016

Notice 2016-24 - Request for Comment
Publication date: | Comment due:
Information for:

Bank Dealers, Municipal Advisors

Rule Number:

Rule G-3

1.  Breena LLC: E-mail from G. Letti dated September 30, 2016

2.  Castle Advisory Company LLC: E-mail from Garth Schulz dated September 30, 2016

3.  Columbia Capital Management, LLC: Letter from Jeff White, Principal, dated November 11, 2016

4.  Financial Services Institute: Letter from David T. Bellaire, Executive Vice President and General Counsel, dated November 14, 2016

5.  Lamont Financial Services Corporation: Letter from Robert A. Lamb, President, dated October 21, 2016

6.  Lawrence Goldberg: E-mail dated September 30, 2016

7.  National Association of Municipal Advisors: Letter from Susan Gaffney, Executive Director, dated November 14, 2016

8.  PFM Group: Letter from Leo Karwejna, Managing Director and Chief Compliance Officer, dated November 14, 2016

9.  Public Resources Advisory Group: Letter from Marianne F. Edmonds, Senior Managing Director, dated November 14, 2016

10.  Roberts Consulting, LLC: E-mail from Jonathan Roberts dated October 14, 2016

11.  Third Party Marketers Association: Letter from Donna DiMaria, Chairman of the Board of Directors, dated November 17, 2016

Notice 2016-23 - Request for Comment
Publication date: | Comment due:
Information for:

Bank Dealers, Dealers

Rule Number:

Rule G-15

1.  Bond Dealers of America: Letter from Mike Nicholas, Chief Executive Officer, dated October 18, 2016

2.  Darcy Versions I and II: E-mail from G. Letti dated September 27, 2016

3.  Financial Services Institute: Letter from David T. Bellaire, Executive Vice President & General Counsel, dated October 11, 2016

4.  James J. Angel: Letter dated October 22, 2016

5.  National Association of Bond Lawyers: Letter from Clifford M. Gerber, President, dated December 23, 2016

6.  Romano Brothers & Co.: Letter from Eric Bederman, Chief Operating and Compliance Officer, dated October 18, 2016

7.  Securities Industry and Financial Markets Association: Letter from Leslie M. Norwood, Managing Director and Associate General Counsel, dated October 18, 2016

Notice 2016-22 - Approval Notice
Publication date:
Information for:

Bank Dealers, Dealers, Municipal Advisors

Notice 2016-21 - Approval Notice
Publication date:
Information for:

Bank Dealers, Dealers

Rule Number:

Rule G-12

Notice 2016-19 - Informational Notice
Publication date:
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