Select regulatory documents by category:
Bank Dealers, Dealers, Municipal Advisors
Bank Dealers, Dealers, Investors
Bank Dealers, Dealers, General Public, Investors, Issuers, Municipal Advisors
Bank Dealers, Issuers, Municipal Advisors
1. Acacia Financial Group, Inc.: Letter from Noreen P. White, Co-President, and Kim M. Whelan, Co-President, dated June 29, 2017
2. American Bankers Association: Letter from Cristeena G. Naser, Vice President and Senior Counsel, Center for Securities, Trust and Investment, dated June 30, 2017
3. Bloomberg L.P.: Letter from Peter Warms, Senior Manager of Fixed Income, Entity, Regulatory Content and Symbology
4. Bond Dealers of America: Letter from Mike Nicholas, Chief Executive Officer, dated June 29, 2017
5. Center for Municipal Finance: Letter from Marc D. Joffe, President, dated June 28, 2017
6. Eastern Bank: Letter
7. Fieldman Rolapp & Associates: Letter from Adam S. Bauer, Chief Executive Officer and President, dated June 30, 2017
8. Government Capital Securities Corp: Email from Ted Christensen dated June 1, 2017
9. Government Finance Officers Association: Letter from Emily Brock, Director, Federal Liaison Center, dated June 30, 2017
10. National Association of Municipal Advisors: Letter from Susan Gaffney, Executive Director, dated June 30, 2017
11. New Jersey State League of Municipalities: Letter from Michael F. Cerra, Assistant Executive Director, dated June 27, 2017
12. PFM: Letter from Leo Karwejna, Chief Compliance Officer, Cheryl Maddox, General Counsel, and Catherine Humphrey-Bennett, Municipal Advisory Compliance Officer, dated July 3, 2017
13. Piper Jaffray & Co.: Letter from Frank Fairman, Managing Director, Head of Public Finance Services, and Rebecca Lawrence, Managing Director, Associate General Counsel, Public Finance and Fixed Income, dated June 29, 2017
14. Securities Industry and Financial Markets Association: Letter from Leslie M. Norwood, Managing Director and Associate General Counsel, dated June 30, 2017
15. Southern Municipal Advisors, Inc.: Letter from Michael C. Cawley, Senior Consultant, dated June 29, 2017
16. Township of East Brunswick: Email from L. Mason Neely dated June 2, 2017
Municipal Advisors
Municipal Advisors
General Public, Issuers, Municipal Advisors
Bank Dealers, Dealers, Municipal Advisors
Bank Dealers, Dealers, Municipal Advisors
Bank Dealers, Dealers, Municipal Advisors
1. Acacia Financial Group, Inc.: Letter from Noreen P. White, Co-President, and Kim M. Whelan, Co-President, dated March 31, 2017
2. American Bankers Association: Letter from Cristeena G. Naser, Vice President and Senior Counsel, Center for Securities, Trust and Investment, dated March 24, 2017
3. Bloomberg, L.P.: Letter from Peter Warms, Senior Manager of Fixed Income, Entity, Regulatory Content and Symbology
4. Bond Dealers of America: Letter from Mike Nicholas, Chief Executive Officer, dated March 31, 2017
5. CUSIP Global Services: Letter from Scott J. Preiss, Managing Director, Global Head, dated March 30, 2017
6. Dixworks LLC: E-mail from Dennis Dix, Jr., Principal, dated March 29, 2017
7. First River Advisory LLC: E-mail from Shelley Aronson dated March 22, 2017
8. George K. Baum & Company: Letter from Guy E. Yandel, EVP and Co-Manager Public Finance, Dana L. Bjornson, EVP, CFO and Chief Compliance Officer, and Andrew F. Sears, EVP and General Counsel, dated March 31, 2017
9. Government Finance Officers Association: Letter from Emily Brock, Director, Federal Liaison Center, dated March 31, 2017
10. National Association of Health and Educational Facilities Finance Authorities: Letter from Donna Murr, President, and Martin Walke, Advocacy Committee Chair, dated March 31, 2017
11. National Association of Municipal Advisors: Letter from Susan Gaffney, Executive Director, dated March 31, 2017
12. National Federation of Municipal Analysts; Letter from Julie Egan, Chair, and Lisa Washburn, Industry Practices and Procedures Chair, dated March 31, 2017
13. Opus Bank: E-mail from Dmitry Semenov, Senior Managing Director, Public Finance, dated March 15, 2017
14. PFM: Letter from Cheryl Maddox, General Counsel, and Leo Karwejna, Chief Compliance Officer, dated March 31, 2017
15. Phoenix Advisors, LLC: Letter from David B. Thompson, CEO, dated March 21, 2017
16. Piper Jaffray & Co.: Letter from Frank Fairman, Managing Director, Head of Public Finance Services, and Rebecca Lawrence, Managing Director, Associate General Counsel, Public Finance and Fixed Income, dated March 31, 2017
17. Rudy Salo: E-mail dated March 31, 2017
18. Securities Industry and Financial Markets Association: Letter from Leslie M. Norwood, Managing Director and Associate General Counsel, dated March 31, 2017
19. SMA: E-mail from Michael Cawley dated March 21, 2017
20. State of Florida, Division of Bond Finance: Letter from J. Ben Watkins III, Director, dated April 7, 2017
Bank Dealers, Dealers, Municipal Advisors
1. Acacia Financial Group, Inc.: Letter from Noreen P. White, Co-President, and Kim M. Whelan, Co-President, dated April 7, 2017
2. Bond Dealers of America: Letter from Mike Nicholas, Chief Executive Officer, dated March 24, 2017
3. Fidelity Investments: Letter from Norman L. Ashkenas, Chief Compliance Officer, Fidelity Brokerage Services, LLC, Richard J. O'Brien, Chief Compliance Officer, National Financial Services, LLC, and Jason Linde, Chief Compliance Officer, Fidelity Investments Institutional Services Company, LLC, dated March 24, 2017
4. Financial Services Institute: Letter from David T. Bellaire, Executive Vice President and General Counsel, dated March 24, 2017
5. Lewis Young Robertson & Burningham, Inc.: Letter from Laura D. Lewis, Principal, dated March 24, 2017
6. National Association of Municipal Advisors: Letter from Susan Gaffney, Executive Director, dated March 24, 2017
7. PFM: Letter from Leo Karwejna, Chief Compliance Officer, Cheryl Maddox, General Counsel, and Catherine Humphrey-Bennett, Municipal Advisory Compliance Officer, dated March 23, 2017
8. Securities Industry and Financial Markets Association: Letter from Leslie M. Norwood, Managing Director and Associate General Counsel, dated March 24, 2017
9. Strategic Insight: Letter from Paul Curley, Director of College Savings Research, dated May 16, 2017
10. Third Party Marketers Association: Letter from Donna DiMaria, Chairman of the Board of Directors and Chair of the 3PM Regulatory Committee, dated March 23, 2017
11. Wells Fargo Advisors: Letter from Robert J. McCarthy, Director of Regulatory Policy, dated March 24, 2017
Bank Dealers, Dealers, Municipal Advisors
Bank Dealers, Dealers
1. Bond Dealers of America: Letter from Mike Nicholas, Chief Executive Officer, dated February 17, 2017
2. Michael Paganini: E-mail dated January 6, 2017
3. Securities Industry and Financial Markets Association: Letter from Leslie M. Norwood, Managing Director and Associate General Counsel, dated February 17, 2017
Municipal Advisors
Bank Dealers, Dealers
Bank Dealers, Dealers
Bank Dealers, Dealers
Bank Dealers, Dealers, Municipal Advisors
Bank Dealers, Municipal Advisors
1. Bond Dealers of America: Letter from Mike Nicholas, CEO, dated November 10, 2016
2. Center for Municipal Finance: Letter from Marc D. Joffe dated November 6, 2016
3. City of New York: Letter from Prescott D. Ulrey, General Counsel, New York City Office of Management and Budget, and Al Rodriguez, Chief, Municipal Finance Division, New York City Law Department, dated November 11, 2016
4. City of New York, Office of the Comptroller: Letter from Tim Martin, Assistant Comptroller for Public Finance, dated November 11, 2016
5. Darcy Versions I and II: E-mail from G. Letti dated October 12, 2016
6. Financial Services Institute: Letter from Robin Traxler, Vice President, Regulatory Affairs and Associate General Counsel, dated November 11, 2016
7. Government Finance Officers Association: Letter from Emily Swenson Brock, Director, Federal Liaison Center, dated November 10, 2016
8. Kevin M. Bronner: Letter dated November 11, 2016
9. Michael Paganini: E-mail dated October 12, 2016
10. National Association of Municipal Advisors: Letter from Susan Gaffney, Executive Director, dated November 14, 2016
11. National Association of State Treasurers: Letter from Hon. James McIntire, President, dated November 16, 2016
12. National Federation of Municipal Analysts: Letter from Lisa Washburn, Chair, dated November 10, 2016
13. Richard Li: E-mail (1) and E-mail (2) dated October 13, 2016
14. San Francisco International Airport: Letter from Kevin Kone, Managing Director, Finance, dated November 10, 2016
15. Securities Industry and Financial Markets Association: Letter from Michael Decker, Managing Director, dated November 11, 2016
16. Sunlight Foundation: Letter from Noel Isama, Policy Associate, dated November 10, 2016
17. Wells Fargo Advisors, LLC: Letter from Robert J. McCarthy, Director of Regulatory Policy, dated November 11, 2016
Bank Dealers, Municipal Advisors
1. Breena LLC: E-mail from G. Letti dated September 30, 2016
2. Castle Advisory Company LLC: E-mail from Garth Schulz dated September 30, 2016
3. Columbia Capital Management, LLC: Letter from Jeff White, Principal, dated November 11, 2016
4. Financial Services Institute: Letter from David T. Bellaire, Executive Vice President and General Counsel, dated November 14, 2016
5. Lamont Financial Services Corporation: Letter from Robert A. Lamb, President, dated October 21, 2016
6. Lawrence Goldberg: E-mail dated September 30, 2016
7. National Association of Municipal Advisors: Letter from Susan Gaffney, Executive Director, dated November 14, 2016
8. PFM Group: Letter from Leo Karwejna, Managing Director and Chief Compliance Officer, dated November 14, 2016
9. Public Resources Advisory Group: Letter from Marianne F. Edmonds, Senior Managing Director, dated November 14, 2016
10. Roberts Consulting, LLC: E-mail from Jonathan Roberts dated October 14, 2016
11. Third Party Marketers Association: Letter from Donna DiMaria, Chairman of the Board of Directors, dated November 17, 2016
Bank Dealers, Dealers
1. Bond Dealers of America: Letter from Mike Nicholas, Chief Executive Officer, dated October 18, 2016
2. Darcy Versions I and II: E-mail from G. Letti dated September 27, 2016
3. Financial Services Institute: Letter from David T. Bellaire, Executive Vice President & General Counsel, dated October 11, 2016
4. James J. Angel: Letter dated October 22, 2016
5. National Association of Bond Lawyers: Letter from Clifford M. Gerber, President, dated December 23, 2016
6. Romano Brothers & Co.: Letter from Eric Bederman, Chief Operating and Compliance Officer, dated October 18, 2016
7. Securities Industry and Financial Markets Association: Letter from Leslie M. Norwood, Managing Director and Associate General Counsel, dated October 18, 2016
Bank Dealers, Dealers, Municipal Advisors