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Notice 2024-15 - Request for Comment
Publication date: | Comment due:
Information for:

Dealers, General Public, Investors, Issuers, Municipal Advisors

All Comments to Notice 2024-15

  1. ABLE Savings Plan Network: Letter from Bette Ann Mobley, Chair, dated April 10, 2025
  2. AKF Consulting Group: Letter from Andrea Feirstein, Managing Director, and Mark Chapleau, Senior Consultant, dated April 11, 2025
  3. Arizona State Treasurer’s Office: Letter from Kimberly Yee, Treasurer, dated April 10, 2025
  4. Ascensus: Letter from Christal Fenton, Associate General Counsel, dated April 10, 2025
  5. Bank of North Dakota: Email from James Barnhardt dated April 3, 2025
  6. College Savings Foundation: Letter from Chris McGee, Chair, dated April 9, 2025
  7. College Savings Plans Network: Letter from Mary G. Morris, Chair, dated April 2, 2025
  8. Commonwealth Savers Plan: Letter from Mary G. Morris, Chief Executive Officer, dated April 11, 2025
  9. First Public, LLC: Email from Bill Mastrodicasa dated April 11, 2025
  10. Government Finance Officers Association: Letter from Emily Brock, Director of Federal Liaison Center, dated June 3, 2025
  11. Illinois State Treasurer’s Office: Letter from Michael W. Frerichs, Treasurer, dated April 10, 2025; and Letter from Michael Frerichs, Treasurer, dated April 10, 2025
  12. Investment Company Institute:  Letter from Tara Buckley, Deputy General Counsel, Financial Regulation, and Shannon Salinas, Associate General Counsel, Retirement Policy, dated April 11, 2025
  13. Massachusetts Educational Financing Authority: Letter from Thomas M. Graf, Executive Director, dated April 9, 2025
  14. my529: Letter from Richard K. Ellis, Executive Director, dated March 31, 2025
  15. Nebraska State Treasurer’s Office: Letter from Rachel Biar, Deputy State Treasurer for Savings Programs, dated April 2, 2025
  16. Pennsylvania Treasury Department: Letter from Stacy Garrity, Treasurer, dated April 2, 2025
  17. Securities Industry and Financial Markets Association: Letter from Leslie M. Norwood, Managing Director and Associate General Counsel, and Gerald O’Hara, Vice President and Assistant General Counsel, dated April 11, 2025
  18. TIAA-CREF Tuition Financing, Inc: Letter from Christopher S. Lynch, President, dated April 10, 2025
  19. Vestwell: Letter from Aaron Schumm, Chief Executive Officer, dated April 11, 2025
Notice 2024-14 - Request for Comment
Publication date: | Comment due:
Information for:

Dealers, General Public, Municipal Advisors

All Comments to Notice 2024-14

  1. American Securities Association: Letter from Jessica R. Giroux, General Counsel and Head of Fixed Income Policy, dated January 28, 2025
  2. Bond Dealers of America: Letter from Michael Decker, Senior Vice President, dated January 28, 2025
  3. ICE Bonds Securities Corporation: Letter from Robert Laorno, General Counsel, dated January 21, 2025
  4. National Association of Municipal Advisors: Letter from Susan Gaffney, Executive Director, dated January 28, 2025
  5. Public Resources Advisory Group, Inc.: Letter from Thomas F. Huestis, Senior Managing Director, dated January 27, 2025
  6. Securities Industry and Financial Markets Association: Letter from Leslie M. Norwood, Managing Director and Associate General Counsel, and Gerald O’Hara, Vice President and Assistant General Counsel, dated January 28, 2025
Notice 2024-13 - Informational Notice
Publication date:
Information for:

Dealers, General Public, Investors, Issuers, Municipal Advisors

Notice 2024-12 - Approval Notice
Publication date:
Notice 2024-08 - Informational Notice
Publication date:
Notice 2024-07 - Informational Notice
Publication date:
Information for:

Bank Dealers, Dealers, General Public, Investors

Rule Number:

Rule G-12, Rule G-15

Notice 2024-06 - Informational Notice
Publication date:
Notice 2024-02 - Informational Notice
Publication date:
Notice 2024-01 - Informational Notice
Publication date:
Notice 2018-31 - 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 2018-23 - Informational Notice
Publication date:
Information for:

Bank Dealers, Dealers, Municipal Advisors

Notice 2018-22 - Request for Comment
Publication date: | Comment due:
Information for:

Bank Dealers, Dealers

Rule Number:

Rule G-17, Rule G-18

All Comments to Notice 2018-22

1. Amuni Financial, Inc.: Letter from Mike Petagna, President, dated October 31, 2018

2. Bond Dealers of America: Letter from Michael Nicholas, Chief Executive Officer, dated November 13, 2018

3. Emmet & Co.: Email from Robert Ventrice dated September 14, 2018

4. Hartfield, Titus & Donnelly, LLC: Letter from Edward J. Smith, Chief Compliance Officer, and Christopher C. Ferreri, Chief Operating Officer, dated November 13, 2018

5. Headlands Tech Global Markets, LLC: Letter from Matthew F. Andresen, Chief Executive Officer, dated October 26, 2018

6. Regional Brokers, Inc.: Letter from Joseph A. Hemphill, III, Chief Executive Officer, and H. Deane Armstrong, Chief Compliance Officer, dated November 6, 2018

7. RW Smith & Associates, LLC: Letter from Denien Rasmussen, Co-Chief Compliance Officer, Chief Operating Officer, dated November 13, 2018

8. Securities Industry and Financial Markets Association: Letter from Leslie M. Norwood, Managing Director and Associate General Counsel, dated November 13, 2018

9. TMC Bonds: Letter from Thomas S. Vales, Chief Executive Officer, dated November 14, 2018

 

Notice 2018-21 - Request for Comment
Publication date: | Comment due:
Information for:

Bank Dealers, Dealers

1. Wells Fargo Advisors: Letter from Robert J. McCarthy, Director of Regulatory Policy, dated November 5, 2018

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

Notice 2018-17 - Regulatory Reminder
Publication date:
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