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Compliance Resource
Publication date:
Information for:

Issuers, Municipal Advisors

Rule Number:

Rule G-8, Rule G-42

Notice 2018-11 - Informational Notice
Publication date:
Information for:

Bank Dealers, Dealers, Municipal Advisors

Rule Number:

Rule G-3

Notice 2018-10 - Request for Comment
Publication date: | Comment due:
Information for:

Bank Dealers, Dealers, Municipal Advisors

Rule Number:

Rule G-17

All Comments to Notice 2018-10

1. Bond Dealers of America: Letter from Mike Nicholas, Chief Executive Officer, dated August 6, 2018

2. Government Finance Officers Association: Letter from Emily S. Brock, Director, Federal Liaison Center, dated August 6, 2018

3. National Association of Municipal Advisors: Letter from Susan Gaffney, Executive Director, dated August 6, 2018

4. Securities Industry and Financial Markets Association: Letter from Leslie M. Norwood, Managing Director and Associate General Counsel, dated August 6, 2018

5. State of Florida, Division of Bond Finance: Letter from J. Ben Watkins III, Director, dated August 8, 2018

Notice 2018-09 - Request for Comment
Publication date: | Comment due:
Information for:

Bank Dealers, Dealers

All Comments to Notice 2018-09

1. Bond Dealers of America: Letter from Mike Nicholas, Chief Executive Officer, dated July 16, 2018

2. Financial Services Institute: Letter from Robin Traxler, Vice President, Regulatory Affairs and Associate General Counsel, dated July 16, 2018

3. Securities Industry and Financial Markets Association: Letter from Leslie M. Norwood, Managing Director and Associate General Counsel, dated July 16, 2018

 

Notice 2018-08 - Approval Notice
Publication date:
Information for:

Bank Dealers, Dealers, Municipal Advisors

Rule Number:

Rule G-21, Rule G-40

Notice 2018-07 - Regulatory Reminder
Publication date:
Notice 2018-06 - Informational Notice
Publication date:
Notice 2018-05 -
Publication date:
Notice 2018-04 - Informational Notice
Publication date:
Notice 2018-03 - Request for Comment
Publication date: | Comment due:
Information for:

Municipal Advisors

Rule Number:

Rule G-42

All Comments to Notice 2018-03

1. Bond Dealers of America: Letter from Michael Nicholas, Chief Executive Officer, dated April 20, 2018

2. cfX Incorporated: Letter from Benjamin Madorsky, Chief Compliance Officer, dated April 16, 2018

3. Kensington Capital Advisors: Email from Kim Wyatt dated February 22, 2018

4. National Association of Health and Educational Facilities Finance Authorities: Letter from Charles A. Samuels, Counsel for NAHEFFA, dated April 16, 2018

5. National Association of Municipal Advisors: Letter from Susan Gaffney, Executive Director, dated April 16, 2018

6. PFM Financial Advisors LLC: Letter from Catherine Humphrey-Bennett, Municipal Advisory Compliance Officer, dated April 16, 2018

7. Piper Jaffray & Co.: Letter from Frank Fairman, Managing Director, Head of Public Finance Services, dated April 16, 2018

8. Securities Industry and Financial Markets Association: Letter from Leslie M. Norwood, Managing Director and Associate General Counsel, dated April 16, 2018

Notice 2018-02 - Informational Notice
Publication date:
Information for:

Bank Dealers, Dealers, Municipal Advisors

Notice 2018-01 - Regulatory Reminder
Publication date:
Notice 2017-25 - Approval Notice
Publication date:
Information for:

Bank Dealers, Dealers, Municipal Advisors

Rule Number:

Rule G-34

Notice 2017-24 - Approval Notice
Publication date:
Notice 2017-23 - Informational Notice
Publication date:
Information for:

Bank Dealers, Dealers, Municipal Advisors

Notice 2017-22 - Request for Comment
Publication date: | Comment due:
Information for:

Bank Dealers, Dealers, Municipal Advisors

1. Bond Dealers of America: Letter from Mike Nicholas, Chief Executive Officer, dated February 9, 2018

2. Breena LLC: Email from G. Letti dated November 16, 2017

3. Caine Mitter & Associates Incorporated: Email from Thomas Caine dated February 5, 2018

4. College Savings Foundation: Letter from Richard J. Polimeni, Chairman, dated February 9, 2018

5. Darren Ward: Email dated December 8, 2017

6. Financial Services Institute: Letter from Robin Traxler, Vice President, Regulatory Affairs and Associate General Counsel, dated February 9, 2018

7. Government Finance Officers Association: Letter from Emily Swenson Brock, Director, Federal Liaison Center, dated February 13, 2018

8. Investment Company Institute: Letter from Tamara K. Salmon, Associate General Counsel, dated December 21, 2017

9. National Association of Bond Lawyers: Letter from Alexandra M. MacLennan, President, dated February 23, 2018

10. National Association of Health and Educational Facilities Finance Authorities: Letter from Charles A. Samuels, Counsel for NAHEFFA, dated January 29, 2018

11. National Association of Municipal Advisors: Letter from Susan Gaffney, Executive Director, dated February 9, 2018

12. National Association of State Treasurers and College Savings Plans Network: Letter from Elizabeth Pearce, NAST President and Vermont State Treasurer, and James DiUlio, CSPN Chair and Executive Director, Wisconsin 529 College Savings Program, dated February 9, 2018

13. PFM: Letter from Leo Karwejna, Managing Director and Chief Compliance Officer, dated February 12, 2018

14. Securities Industry and Financial Markets Association: Letter from Leslie M. Norwood, Managing Director and Associate General Counsel, dated January 23, 2018

15. Wells Fargo Advisors: Letter from Robert J. McCarthy, Director of Regulatory Policy, dated February 9, 2018

Notice 2017-21 - Informational Notice
Publication date:
Compliance Resource
Publication date:
Compliance Resource
Publication date:
Information for:

Municipal Advisors

Rule Number:

Rule G-3

Notice 2017-20 - Informational Notice
Publication date:
Information for:

Municipal Advisors

Rule Number:

Rule A-11

Notice 2017-19 - Request for Comment
Publication date: | Comment due:
Information for:

Bank Dealers, Dealers, Municipal Advisors

Rule Number:

Rule G-11, Rule G-32

1. Bond Dealers of America: Letter from Mike Nicholas, Chief Executive Officer, dated November 16, 2017

2. City of San Diego: Letter

3. Global Legal Entity Identifier Foundation: Email from Stephan Wolf dated November 6, 2017

4. Government Finance Officers Association: Letter from Emily Brock, Director, Federal Liaison Center, dated November 27, 2017

5. Michael Paganini: Email dated September 15, 2017

6. National Association of Bond Lawyers: Letter from Alexandra M. MacLennan, President, dated November 17, 2017

7. National Association of Municipal Advisors: Letter from Susan Gaffney, Executive Director, dated November 13, 2017

8. National Federation of Municipal Analysts: Letter from Julie Egan, Chair, and Lisa Washburn, Industry Practices and Procedures Chair, dated November 9, 2017

9. Robert W. Doty: Letter dated November 2, 2017

10. Securities Industry and Financial Markets Association: Letter from Leslie M. Norwood, Managing Director and Associate General Counsel, dated November 15, 2017

11. TMC Bonds: Letter from John S. Craft, Managing Director, dated November 13, 2017

12. Wells Capital Management Incorporated: Letter from Gilbert L. Southwell III, Vice President, dated November 1, 2017

Compliance Resource
Publication date:
Information for:

Bank Dealers, Dealers, General Public, Investors, Issuers, Municipal Advisors

Notice 2017-17 - Request for Comment
Publication date: | Comment due:
Information for:

Bank Dealers, Dealers

Rule Number:

Rule G-45

1.  American Funds Distributors, Inc.: Letter from Maria Manotok, Senior Counsel, dated September 21, 2017

2.  Ascensus College Savings: Letter from Sandra Madden, General Counsel, dated September 21, 2017

3.  College Savings Plans Network and College Savings Foundation: Letter from Richard J. Polimeni, Chairman, College Savings Foundation, and Young Boozer, Chairman, College Savings Plans Network, dated September 21, 2017

4.  Investment Company Institute: Letter from Tamara K. Salmon, Senior Associate Counsel, dated September 21, 2017

5.  Securities Industry and Financial Markets Association: Letter from Leslie M. Norwood, Managing Director and Associate General Counsel, and Bernard Canepa, Vice President and Assistant General Counsel, dated September 21, 2017

6.  State of West Virginia: Letter from John D. Perdue, State Treasurer, dated September 18, 2017

Notice 2017-16 - Approval Notice
Publication date:
Notice 2017-15 - Approval Notice
Publication date: