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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 2019-21 - Informational Notice
Publication date:
Notice 2019-20 - Approval Notice
Publication date:
Information for:

Bank Dealers, Dealers, Municipal Advisors

Rule Number:

Rule G-17

Compliance Resource
Publication date:
Information for:

Bank Dealers, Dealers

Rule Number:

Rule G-12

Notice 2019-17 - Informational Notice
Publication date:
Information for:

Bank Dealers, Dealers, Municipal Advisors

Compliance Resource
Publication date:
Information for:

Bank Dealers, Dealers, Municipal Advisors

Rule Number:

Rule A-12

Notice 2019-15 - Approval Notice
Publication date:
Notice 2019-14 - Informational Notice
Publication date:
Notice 2019-13 - Request for Comment
Publication date: | Comment due:
Information for:

Bank Dealers, Dealers, Municipal Advisors

Rule Number:

Rule G-23

All Comments to Notice 2019-13

1. Acacia Financial Group, Inc.: Letter from Kim M. Whelan, Co-President, and Noreen P. White, Co-President, dated August 19, 2019

2. Bond Dealers of America: Letter from Michael Nicholas, Chief Executive Officer, dated August 23, 2019

3. Columbia Capital Management, LLC: Letter from Jeff White, Managing Member, dated August 19, 2019

4. Crews & Associates, Inc.: Letter from Don Winton, Chief Operating Officer, dated August 23, 2019

5. Ehlers: Letter from Phil Cosson, Ehlers Board Chairman

6. First Kentucky Securities Corp.: Email from Stan Kramer dated August 13, 2019

7. Government Finance Officers Association: Letter from Emily Swenson Brock, Director, Federal Liaison Center, dated August 19, 2019

8. KPM Financial, LLC: Letter from Jay Saunders, Director

9. Kutak Rock LLP: Letter from Joshua P. Meyer dated August 16, 2019

10. Lewis Young Robertson & Burningham, Inc.: Letter from Laura D. Lewis, Principal, dated August 7, 2019

11. National Association of Municipal Advisors: Letter from Susan Gaffney, Executive Director, dated August 19, 2019

12. Phoenix Advisors, LLC: Letter from David B. Thompson, CEO, dated August 14, 2019

13. Richard Li: Email dated January 29, 2020

14. Robert W. Doty: Letter dated August 19, 2019 

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 August 19, 2019

16. Speer Financial, Inc.: Letter from Daniel Forbes, President, dated August 19, 2019

17. State of Florida, Division of Bond Finance: Letter from J. Ben Watkins III, Director, dated September 3, 2019

18. Zions Public Finance, Inc. and Zions Bank Public Finance: Letter from James Livingston, Executive Vice President, dated August 14, 2019

Notice 2019-12 - Informational Notice
Publication date:
Notice 2019-11 - Informational Notice
Publication date:
Notice 2019-10 - Informational Notice
Publication date: