Select regulatory documents by category:
All Comments to Notice 2021-18
1. National Association of Municipal Advisors: Letter from Susan Gaffney, Executive Director, dated March 15, 2022
2. Securities Industry and Financial Markets Association: Letter from Leslie M. Norwood, Managing Director and Associate General Counsel, dated March 15, 2022
3. Third-Party Marketers Association: Letter from Donna DiMaria, Chairman of the Board of Directors and Chair of the 3PM Regulatory Committee, dated March 15, 2022
Municipal Fund Securities
All Comments to Notice 2021-17
1. 1919 Investment Counsel, LLC: Letter from Robert Fisher, Vice President, Credit Analyst - Municipal
2. AGVP Advisory: Email from Dan Aschenbach dated January 18, 2022
3. American Bankers Association: Letter from Justin M. Underwood, Executive Director, ABASA, Vice President, Banking Policy, dated March 8, 2022
4. American Securities Association: Letter from Christopher A. Iacovella, Chief Executive Officer, dated March 8, 2022
5. Anonymous: Email dated February 21, 2022
6. Baker Tilly Municipal Advisors, LLC: Letter from the BTMA Disclosure Leadership Team: Brian Colton, Susan Reed and Alyssa Glaser, dated March 8, 2022
7. Bloomberg L.P.: Letter from Gregory Babyak, Global Head of Regulatory Affairs, dated March 8, 2022
8. Bond Dealers of America: Letter from Michael Decker, Senior Vice President, dated March 8, 2022
9. Breckinridge Capital Advisors, Inc.: Letter from Adam Stern, Co-Head of Research, dated February 7, 2022
10. Build America Mutual: Letter from Laura Levenstein, Chief Risk Officer, and Michael Stanton, Head of Strategy & Communications, dated March 8, 2022
11. California Green Bond Market Development Committee (CGBMDC): Letter from David Wooley, Cecilia Latapi, and Michael Paparian, Secretariat for CGBMDC, dated March 8, 2022
12. Center for American Progress: Letter from Alexandra Thornton, Senior Director, Tax Policy, and Kevin DeGood, Director, Infrastructure Policy, dated March 8, 2022
13. Ceres and the Ceres Accelerator for Sustainable Capital Markets: Letter from Steven M. Rothstein, Managing Director, and Jim Scott, Senior Advisor, Financial Institutions, dated March 2, 2022
14. City of Detroit: Letter
15. City of New York, Office of the Comptroller: Letter from Marjorie E. Henning, Deputy Comptroller for Public Finance, dated March 7, 2022
16. City of San Diego, Debt Management: Letter from Lakshmi Kommi, Debt Management Director, dated March 9, 2022
17. Climate Resilience Consulting: Email from Joyce Coffee dated December 17, 2021
18. Community Capital Management, LLC: Letter from Julie Egan, Director of Research/Portfolio Manager
19. Consumer Federation of America: Letter from Dylan Bruce, Financial Services Counsel, dated March 14, 2022
20. Disclosure Industry Workgroup: Letter dated March 8, 2022
21. Domini Impact Investments LLC: Letter from Mary Beth Gallagher, Director of Engagement, dated March 8, 2022
22. Goldman Sachs: Letter
23. Government Finance Officers Association: Letter from Emily Swenson Brock, Director, Federal Liaison Center, dated March 8, 2022
24. Intercontinental Exchange, Inc.: Letter from Anthony Belcher, Vice President, Sustainable Finance, dated March 14, 2022
25. Investment Company Institute: Letter from Dorothy Donohue, Deputy General Counsel - Securities Regulation, dated March 8, 2022
26. ISS ESG: Letter from Maximilian Horster, Head of ISS ESG Business, and John McLean, ISS ESG, Muni QualityScore, dated March 8, 2022
27. Kestrel 360, Inc.: Letter from Monica Reid, CEO and Founder, dated March 2022
28. Lansing Board of Water & Light: Email from Heather Shawa, dated March 3, 2022
29. Large Public Power Council: Letter from John Di Stasio, President, dated March 22, 2022
30. Lord Abbett & Co. LLC: Letter from Daniel S. Solender, Partner and Director of Tax Free Fixed Income
31. Ludvigsen, Phillip J.: Letter
32. MacKay Shields: Letter
33. McIntyre, James: Letter dated March 8, 2022
34. Milken Institute Center for Financial Markets: Letter from Dan Carol, Senior Director, Milken Institute Center for Financial Markets, and Caitlin MacLean, Senior Director, Innovative Finance, Milken Institute, and members of the Milken Institute Public Finance Advisory Council, dated March 8, 2022
35. National Association of Bond Lawyers: Letter from Ann D. Fillingham, President, dated March 7, 2022
36. National Association of College and University Business Officers: Letter from Elizabeth L. Clark, Vice President, Policy and Research, dated March 8, 2022
37. National Association of Health and Educational Facilities Finance Authorities: Letter from Dennis Reilly, President, and Charles Samuels, of Counsel, dated March 7, 2022
38. National Association of Municipal Advisors: Letter from Susan Gaffney, Executive Director, dated March 8, 2022
39. National Federation of Municipal Analysts: Letter from Lisa S. Good dated March 8, 2022
40. New Jersey Infrastructure Bank: Letter dated March 8, 2022
41. New York City Housing Development Corporation: Letter from Ellen K. Duffy, EVP Debt Issuance & Finance
42. PFM Financial Advisors, LLC: Letter from Cheryl Maddox, Chief Legal and Compliance Officer, and Daniel Hartman, Chief Executive Officer, dated March 7, 2022
43. PIMCO: Letter from David Hammer, Managing Director and Head of Municipal Bond Portfolio Management, dated March 4, 2022\
44. Principles for Responsible Investment: Letter from Greg Hershman, Head of US Policy, dated March 8, 2022
45. Public Finance Initiative: Letter from Lourdes German, Executive Director, dated March 8, 2022
46. San Francisco Public Utilities Commission: Letter
47. Securities Industry and Financial Markets Association: Letter from Leslie M. Norwood, Managing Director and Associate General Counsel, dated March 8, 2022
48. Sperry Capital Inc.: Letter from Bryant Jenkins, Principal, dated March 8, 2022
49. State of Florida, Division of Bond Finance: Letter dated March 8, 2022
50. State of Wisconsin, Department of Administration: Letter from David R. Erdman, Capital Finance Director, dated March 8, 2022
51. TIAA: Letter from Amy M. O'Brien, Executive Vice President, Head of Responsible Investment, and Yves P. Denize, Senior Managing Director, Division General Counsel, dated March 8, 2022
52. Utah State Treasurer et al.: Letter dated March 8, 2022
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
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
All Comments to Notice 2021-07
1. National Association of Municipal Advisors: Letter from Susan Gaffney, Executive Director, dated June 17, 2021
2. Securities Industry and Financial Markets Association: Letter from Leslie M. Norwood, Managing Director and Associate General Counsel, dated June 17, 2021
3. Third-Party Marketers Association: Letter from Donna DiMaria, Chairman of the Board of Directors and Chair of the 3PM Regulatory Committee, dated June 16, 2021
Bank Dealers
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
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
Bank Dealers, Municipal Advisors
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
Bank Dealers, Dealers
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
Bank Dealers, Dealers
1. American Municipal Securities, Inc.: Letter from Michael Petagna, President, dated May 25, 2016
2. Bond Dealers of America: Letter from Mike Nicholas, Chief Executive Officer, dated May 25, 2016
3. Breena LLC: E-mail from G. Letti dated April 19, 2016
4. Center for Municipal Finance: Letter from Marc D. Joffe, President, dated April 7, 2016
5. Neighborly.com: E-mail from Jase Wilson dated May 25, 2016
6. Regional Brokers, Inc.: Letter from H. Deane Armstrong, CCO
7. Securities Industry and Financial Markets Association: Letter from Leslie M. Norwood, Managing Director and Associate General Counsel, dated May 25, 2016
8. Thomas Kiernan: E-mail dated April 7, 2016
9. Vista Securities: E-mail from Rick DeLong dated May 9, 2016
10. Wells Fargo Advisors, LLC: Letter from Robert J. McCarthy, Director of Regulatory Policy, dated May 25, 2016
Bank Dealers, Dealers, Municipal Advisors
1. American Bankers Association: Letter from Cristeena G. Naser, Vice President, Center for Securities, Trust and Investments, dated May 27, 2016
2. American Governmental Financial Services Company: E-mail from Robert Doty dated May 31, 2016
3. Bond Dealers of America: Letter from Mike Nicholas, Chief Executive Officer, dated May 27, 2016
4. Breena LLC: E-mail from G. Letti dated March 28, 2016; and e-mail from G. Letti dated May 1, 2016
5. Caine Mitter & Associates Incorporated: E-mail from Thomas Caine dated May 27, 2016
6. Cavanal Hill Investment Management: E-mail from Douglas Benton dated May 2, 2016
7. Charles Schwab Investment Management: Letter from Marie Chandoha, President and Chief Executive Officer, dated May 27, 2016
8. Dixworks LLC: E-mail from Dennis Dix, Jr. dated March 29, 2016
9. George K. Baum & Company: Letter from Guy E. Yandel, Executive Vice President; Dana L. Bjornson, Executive Vice President and Chief Compliance Officer; and Andrew F. Sears, Executive Vice President and General Counsel; dated May 26, 2016
10. Government Finance Officers Association: Letter from Emily Brock, Director, Federal Liaison Center, dated May 27, 2016
11. Investment Company Institute: Letter from Dorothy Donohue, Deputy General Counsel - Securities Regulation, dated May 27, 2016
12. Kane, McKenna Capital, Inc.: Letter from Philip R. McKenna, President, dated April 7, 2016
13. Lawrence Financial Consulting LLC: E-mail from Tom Lawrence dated March 30, 2016; and letter from Tom Lawrence, President, dated May 2, 2016
14. Lewis Young Robertson & Burningham: Letter from Laura D. Lewis, Principal, dated May 26, 2016
15. National Association of Bond Lawyers: Letter from Kenneth R. Artin, President, dated May 27, 2016
16. National Association of Health and Educational Facilities Finance Authorities: Letter from Donna Murr, President; Martin Walke, Advocacy Committee Chairman; and Charles Samuels, General Counsel; dated May 26, 2016
17. National Association of Municipal Advisors: Letter from Terri Heaton, President, dated May 26, 2016
18. National Association of State Treasurers: Letter
19. National Federation of Municipal Analysts: Letter from Lisa Washburn, Chair, dated May 23, 2016
20. Public Financial Management, Inc,: Letter from Leo Karwejna, Chief Compliance Officer, and Cheryl Maddox, General Counsel, dated May 26, 2016
21. Public Resources Advisory Group: Letter from Marianne F. Edmonds, Senior Managing Director, dated May 27, 2016
22. Securities Industry and Financial Markets Association: Letter from Leslie M. Norwood, Managing Director and Associate General Counsel, dated May 26, 2016
23. Securities Industry and Financial Markets Association, Asset Management Group: Letter from Timothy W. Cameron, Asset Management Group - Head, and Lindsey W. Keljo, Vice President and Assistant General Counsel, Asset Management Group, dated May 27, 2016
24. State of Florida, Division of Bond Finance: Letter from J. Ben Watkins III, Director, dated May 27, 2016
25. Sycamore Advisors, LLC: E-mail from Courtney Tobin dated June 8, 2016
26. Thomson Reuters: Letter from Michael C. Demas, Head, Municipal Evaluations, dated May 27, 2016
27. Wake County, North Carolina: Letter from Nicole Kreiser, Debt Manager, dated May 26, 2016
28. WM Financial Strategies: Letter from Joy A. Howard, Principal, dated May 27, 2016
29. Wulff, Hansen & Co.: Letter from Chris Charles, President
30. Zions Bank: Letter from James G. Livingston, Senior Vice President, dated May 25, 2016
Bank Dealers, Dealers
1. Bond Dealers of America: Letter from Michael Nicholas, Chief Executive Officer, dated March 31, 2016
2. Breena LLC: E-mail from G. Lettieri dated February 23, 2016; and e-mail from G. Lettieri dated March 10, 2016
3. Brian Shaw: Letter dated March 28, 2016
4. Herbert Murez: E-mail dated March 28, 2016
5. Markit: Letter from Marcus Schuler, Head of Regulatory Affairs, dated March 31, 2016
6. Office of the Investor Advocate, U.S. Securities and Exchange Commission: Letter from Rick A. Fleming, Investor Advocate, dated March 31, 2016
7. Securities Industry and Financial Markets Association: Letter from Leslie M. Norwood, Managing Director and Associate General Counsel, Municipal Securities Division, and Sean Davy, Managing Director, Capital Markets Division, dated March 31, 2016
8. State of Florida, Division of Bond Finance: Letter from J. Ben Watkins III, Director, dated March 31, 2016
9. Thomson Reuters: Letter from Manisha Kimmel, Chief Regulatory Officer, Wealth Management, dated March 31, 2016
Bank Dealers, Dealers
1. Bond Dealers of America: Letter from Mike Nicholas, Chief Executive Officer, dated March 4, 2016
2. Breena LLC: E-mail from Geraldine Lettieri dated January 6, 2016
3. National Securities Clearing Corporation: Letter from Murray C. Pozmanter, Managing Director, dated January 12, 2016
4. Securities Industry and Financial Markets Association: Letter from Leslie M. Norwood, Managing Director and Associate General Counsel, dated March 6, 2016
