Select regulatory documents by category:
Bank Dealers, Dealers, Issuers, Municipal Advisors
- American Securities Association: Letter from Jessica R. Giroux, Chief Legal Officer, dated July 20, 2026
- First Hawaiian Bank: Email from Ryan Ushijima dated July 10, 2026
- National Association of Municipal Advisors: Letter from Susan Gaffney, Executive Director, dated July 20, 2026
- PFM Financial Advisors, LLC: Letter from Cheryl Maddox, Chief Legal and Compliance Officer, dated July 20, 2026
- Securities Industry and Financial Markets Association: Letter from Leslie M. Norwood, Managing Director and Associate General Counsel, Head of Municipal Securities, dated July 20, 2026
Bank Dealers, Dealers, Municipal Advisors
Bank Dealers, Dealers, General Public, Investors
All Comments to Notice 2026-01
- American Securities Association: Letter from Jessica R. Giroux, Chief Legal Officer, dated March 16, 2026
- Bond Dealers of America: Letter from Michael Decker, Senior Vice President, Research and Public Policy, dated March 16, 2026
- Peg Henry PLLC: Letter from Margaret C. (Peg) Henry, Sole Member, dated March 6, 2026
- Securities Industry and Financial Markets Association: Letter from Leslie M. Norwood, Managing Director and Associate General Counsel, Head of Municipal Securities, dated March 16, 2026
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
Bank Dealers, Dealers, Municipal Advisors
Rule G-3, Rule G-7, Rule G-8, Rule G-9, Rule G-10, Rule G-11, Rule G-12, Rule G-13, Rule G-14, Rule G-15, Rule G-17, Rule G-18, Rule G-19, Rule G-20, Rule G-21, Rule G-23, Rule G-27, Rule G-32, Rule G-34, Rule G-37, Rule G-40, Rule G-42, Rule G-44, Rule G-45, Rule G-47, Rule G-48, Rule A-11, Rule A-12, Rule A-13, Rule D-10
Bank Dealers, Dealers, Municipal Advisors
