Select regulatory documents by category:
Dealers, General Public, Municipal Advisors
- Advisabilitys: Email from Andrew Boyack dated January 9, 2024
- Academy Securities, Inc.: Letter from Michael Boyd, Chief Compliance Officer, dated February 23, 2024
- American Securities Association: Letter from Jessica R. Giroux, General Counsel, dated February 26, 2024
- Amuni Financial, Inc.: Letter from Mike Petagna, President, dated January 8, 2024
- Anonymous: Letter
- Bond Dealers of America: Letter from Michael Decker, Senior Vice President, dated February 26, 2024
- Clary Consulting Company: Email from Lowell Clary dated February 16, 2024
- Derivative Advisors: Letter from Elaine M. Philbrick, Principal, dated December 6, 2023
- Dixworks, LLC: Email from Dennis Dix, Jr. dated February 9, 2024
- Echo Valley Advisors, LLC: Letter from Julie Needham, President, dated February 23, 2024
- Herold & Lantern Investments: Letter from Brad Harris, Director of Fixed Income – Municipal Bonds
- Municipal Capital Markets Group, Inc.: Letter from Fred R. Cornwall, President, dated February 26, 2024
- National Association of Municipal Advisors: Letter from Susan Gaffney, Executive Director, dated February 26, 2024
- Regional Brokers, Inc.: Letter from H. Deane Armstrong, CCO, dated February 26, 2024
- Ridgeline Municipal Strategies, LLC: Email from Dmitry Semenov dated December 29, 2023
- Sanderlin Securities LLC: Letter from Matthew Kamler, President, dated January 26, 2024
- Searle & Co., Inc.: Letter from Robert S. Searle, President, dated February 16, 2024
- Securities Industry and Financial Markets Association: Letter from Leslie M. Norwood, Managing Director and Associate General Counsel, Head of Municipal Securities, dated February 26, 2024
- Shnayder, Yana: Email dated December 13, 2023
- Siebert Williams Shank & Co., LLC: Letter from Suzanne Shank, President & Chief Executive Officer, and Gary Hall, President of Infrastructure & Public Finance, dated February 26, 2024
- Speer Financial, Inc.: Letter from Daniel Forbes, President, dated February 20, 2024
- Stern Brothers: Letter dated February 26, 2024
Bank Dealers, Dealers, General Public, Investors
- Securities Industry and Financial Markets Association: Letter from Leslie M. Norwood, Managing Director and Associate General Counsel, dated December 15, 2023
All Comments to Notice 2023-02
- AKF Consulting: Letter from Andrea Feirstein, Managing Director, and Mark Chapleau, Senior Consultant, dated April 20, 2023
- Bond Dealers of America: Letter from Michael Decker, Senior Vice President, dated April 17, 2023
- College Savings Plans Network: Letter from Rachel Biar, Nebraska Assistant State Treasurer, NEST 529 College Savings Program Director, Chairman, College Savings Plans Network, dated April 17, 2023
- Government Finance Officers Association: Letter from Emily Brock, Director, Federal Liaison Center, dated July 21, 2023
- McLane, Curtis: Email dated April 19, 2023
- my529: Letter from Richard K. Ellis, Executive Director, dated April 17, 2023
- Securities Industry and Financial Markets Association: Letter from Leslie M. Norwood, Managing Director and Associate General Counsel, Head of Municipal Securities, dated April 17, 2023
Bank Dealers, Dealers, Municipal Advisors
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
Municipal Advisors
All Comments to Notice 2019-08
1. Bernardi Securities, Inc.: Letter from Lou Lamberti, Sr. Vice President, dated May 24, 2019
2. Bloomberg L.P.: Letter from Peter Warms, Senior Manager, Entity and Identifier Services, dated May 28, 2019
3. Bond Dealers of America: Letter from Michael Nicholas, Chief Executive Officer, dated May 28, 2019
4. Dixworks LLC: Letter from Dennis Dix, Jr., dated March 4, 2019
5. Lamont Financial Services Corporation: Letter from Robert A. Lamb, President, dated May 7, 2019
6. National Association of Municipal Advisors: Letter from Susan Gaffney, Executive Director, dated May 28, 2019
7. Securities Industry and Financial Markets Association: Letter from Leslie M. Norwood, Managing Director and Associate General Counsel, dated May 28, 2019
8. Municipal Solutions, Inc.: Letter from Jeffrey R. Smith, President, dated May 28, 2019
All Comments to Notice 2019-01
1. Bond Dealers of America: Letter from Mike Nicholas, Chief Executive Officer, dated March 5, 2019
2. Regional Brokers, Inc.: Letter from H. Deane Armstrong, CCO, and Joseph A. Hemphill, CEO, dated March 7, 2019
3. Securities Industry and Financial Markets Association: Letter from Leslie M. Norwood, Managing Director and Associate General Counsel, dated March 6, 2019