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Notice 2023-11 - Request for Comment
Publication date: | Comment due:
Request for Information on Impacts of MSRB Rules on Small Firms
Information for:

Dealers, General Public, Municipal Advisors

  1. Advisabilitys: Email from Andrew Boyack dated January 9, 2024
  2. Academy Securities, Inc.: Letter from Michael Boyd, Chief Compliance Officer, dated February 23, 2024
  3. American Securities Association: Letter from Jessica R. Giroux, General Counsel, dated February 26, 2024
  4. Amuni Financial, Inc.: Letter from Mike Petagna, President, dated January 8, 2024
  5. Anonymous: Letter
  6. Bond Dealers of America: Letter from Michael Decker, Senior Vice President, dated February 26, 2024
  7. Clary Consulting Company: Email from Lowell Clary dated February 16, 2024
  8. Derivative Advisors: Letter from Elaine M. Philbrick, Principal, dated December 6, 2023
  9. Dixworks, LLC: Email from Dennis Dix, Jr. dated February 9, 2024
  10. Echo Valley Advisors, LLC: Letter from Julie Needham, President, dated February 23, 2024
  11. Herold & Lantern Investments: Letter from Brad Harris, Director of Fixed Income – Municipal Bonds
  12. Municipal Capital Markets Group, Inc.: Letter from Fred R. Cornwall, President, dated February 26, 2024
  13. National Association of Municipal Advisors: Letter from Susan Gaffney, Executive Director, dated February 26, 2024
  14. Regional Brokers, Inc.: Letter from H. Deane Armstrong, CCO, dated February 26, 2024
  15. Ridgeline Municipal Strategies, LLC: Email from Dmitry Semenov dated December 29, 2023
  16. Sanderlin Securities LLC: Letter from Matthew Kamler, President, dated January 26, 2024
  17. Searle & Co., Inc.: Letter from Robert S. Searle, President, dated February 16, 2024
  18. 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
  19. Shnayder, Yana: Email dated December 13, 2023
  20. 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
  21. Speer Financial, Inc.: Letter from Daniel Forbes, President, dated February 20, 2024
  22. Stern Brothers: Letter dated February 26, 2024
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