Select regulatory documents by category:
Compliance Resource
Publication date:
Information for:

Bank Dealers, Dealers, Municipal Advisors, Municipal Fund Securities

Rule Number:

Rule A-12

Notice 2022-14 - Informational Notice
Publication date:
Information for:

Bank Dealers, Dealers, Municipal Advisors

Rule Number:

Rule A-12

Notice 2022-13 - Request for Comment
Publication date: | Comment due:
Information for:

Issuers, Municipal Advisors

Rule Number:

Rule G-3

All Comments to Notice 2022-13

  1. National Association of Municipal Advisors: Letter from Susan Gaffney, Executive Director, dated January 30, 2023
  2. Securities Industry and Financial Markets Association: Letter from Leslie M. Norwood, Managing Director and Associate General Counsel, dated January 30, 2023
  3. Wulff, Hansen & Co.: Letter from Chris Charles, President, dated December 29, 2022
Notice 2022-12 - Informational Notice
Publication date:
Compliance Resource
Publication date:
Notice 2022-10 - Informational Notice
Publication date:
Information for:

Bank Dealers, Dealers, Municipal Advisors, Municipal Fund Securities

Notice 2022-08 - Approval Notice
Publication date:
Notice 2022-06 - Informational Notice
Publication date:
Information for:

Dealers, Municipal Advisors

Notice 2022-01 - Informational Notice
Publication date:
Compliance Resource
Publication date:
Information for:

Dealers, Municipal Advisors, Municipal Fund Securities

Rule Number:

Rule A-12

Notice 2018-33 - Informational Notice
Publication date:
Notice 2018-32 - Informational Notice
Publication date:
Notice 2018-30 - Approval Notice
Publication date:
Notice 2018-29 - Request for Comment
Publication date: | Comment due:
Information for:

Bank Dealers, Dealers, Municipal Advisors

Rule Number:

Rule G-17

All Comments to Notice 2018-29

1. Bond Dealers of America: Letter from Mike Nicholas, Chief Executive Officer, dated January 15, 2019

2. City of San Diego: Letter 

3. Government Finance Officers Association: Letter from Emily S. Brock, Director, Federal Liaison Center, dated January 15, 2019

4. National Association of Municipal Advisors: Letter from Susan Gaffney, Executive Director, dated January 15, 2019

5. 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 15, 2019

Notice 2018-28 - Regulatory Reminder
Publication date:
Notice 2018-27 - Informational Notice
Publication date:
Information for:

Bank Dealers, Dealers, Municipal Advisors

Notice 2018-26 - Informational Notice
Publication date:
Notice 2018-24 - Informational Notice
Publication date:
Notice 2018-25 - Request for Comment
Publication date: | Comment due:
Information for:

Municipal Advisors

Rule Number:

Rule G-40

All Comments to Notice 2018-25

1. Bond Dealers of America: Letter from Mike Nicholas, Chief Executive Officer, dated October 17, 2018; and Letter from Michael Nicholas, Chief Executive Officer, dated November 30, 2018

2. National Association of Municipal Advisors: Letter from Susan Gaffney, Executive Director, dated October 17, 2018

3. Securities Industry and Financial Markets Association: Letter from Leslie M. Norwood, Managing Director and Associate General Counsel, dated October 17, 2018

4. Springsted Incorporated: Letter from Kathleen A. Aho, President, dated October 17, 2018

Notice 2018-23 - Informational Notice
Publication date:
Information for:

Bank Dealers, Dealers, Municipal Advisors

Notice 2018-20 - Request for Comment
Publication date: | Comment due:
Information for:

Bank Dealers, Dealers, Municipal Advisors

All Comments to Notice 2018-20

1. Bond Dealers of America: Letter from Michael Nicholas, Chief Executive Officer, dated November 27, 2018

2. National Association of Municipal Advisors: Letter from Susan Gaffney, Executive Director, dated November 28, 2018

3. Securities Industry and Financial Markets Association: Letter from Michael Decker, Managing Director, dated November 27, 2018

Compliance Resource
Publication date:
Notice 2018-18 - Regulatory Reminder
Publication date:
Information for:

General Public, Investors, Issuers, Municipal Advisors

Notice 2018-19 - Request for Comment
Publication date: | Comment due:
Information for:

Bank Dealers, Dealers, Municipal Advisors

Rule Number:

Rule G-21, Rule G-40

All Comments to Notice 2018-19

1. Bond Dealers of America: Letter from Mike Nicholas, Chief Executive Officer, dated September 14, 2018

2. National Association of Municipal Advisors: Letter from Susan Gaffney, Executive Director, dated September 17, 2018

3. Securities Industry and Financial Markets Association: Letter from Leslie M. Norwood, Managing Director and Associate General Counsel, dated September 14, 2018

4. Wells Fargo Advisors: Letter from Robert J. McCarthy, Director of Regulatory Policy, dated September 14, 2018

Compliance Resource
Publication date:
Information for:

Municipal Advisors

Rule Number:

Rule G-37

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