Select regulatory documents by category:
Bank Dealers, Dealers, Municipal Advisors
All Comments to Notice 2020-19
1. 280 Securities LLC: Letter from Wm. Thomas Lockard, Managing Director, dated January 6, 2021
2, American Bankers Association: Letter from Justin M. Underwood dated January 11. 2021
3. American Securities Association: Kelli McMorrow, Head of Government Affairs, dated January 11, 2021
4. Belton, David F.: Letter
5. Bliss, Evan: Email dated January 13, 2021
6. Bond Dealers of America: Letter from Mike Nicholas, Chief Executive Officer, dated January 11, 2021
7. Ceres, Inc.: Letter from Steven M. Rothstein, Managing Director, Ceres Accelerator for Sustainable Capital Markets, dated January 11, 2021
8. Climate Advisory: Letter from Lisa L. Churchill, Founder, dated January 11, 2021
9. Geos Institute: Email from Tonya Graham dated January 11, 2021
10. Global Legal Entity Identifier Foundation: Letter from Stephan Wolf, CEO, dated January 5, 2021
11. Government Finance Officers Association: Letter from Emily Swanson Brock, Director, Financial Liaison Center, dated January 11, 2021
12. National Association of Municipal Advisors: Letter from Susan Gaffney, Executive Director, dated January 11, 2021
13. National Association of State Treasurers: Letter from Shaun Snyder, Executive Director, dated January 11, 2021
14. PFM Financial Advisors LLC: Letter from Leo Karwejna, Managing Director, Chief Compliance Officer, dated January 12, 2021
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 January 11, 2021
16. Ugarte, Allyson: Letter dated January 11, 2021
17. XBRL US: Letter from Campbell Pryde, President and CEO, dated January 11, 2021
Bank Dealers, Dealers, Municipal Advisors
Bank Dealers, Dealers, Municipal Advisors, Municipal Fund Securities
Bank Dealers, Dealers, Municipal Advisors
Bank Dealers, Dealers, Municipal Advisors
Bank Dealers, Dealers, Municipal Advisors
Bank Dealers, Dealers, Municipal Advisors
Bank Dealers, Dealers, Municipal Advisors
Bank Dealers, Dealers, Municipal Advisors
Bank Dealers, Dealers, Municipal Advisors
Bank Dealers, Dealers, Municipal Advisors
Bank Dealers, Dealers, Municipal Advisors
Bank Dealers, Dealers, Municipal Advisors
Dealers, General Public, Investors, Issuers, Municipal Advisors
Bank Dealers, Dealers, Municipal Advisors
All Comments to Notice 2020-02
1. Acacia Financial Group, Inc.: Letter from Kim M. Whelan, Co-President, and Noreen P. White, Co-President, dated April 29, 2020
2. Action Center on Race and the Economy, AFSCME, AFL-CIO, Americans for Financial Reform Education Fund, Consumer Federation of America and Public Citizen: Letter dated April 29, 2020
3. Bond Dealers of America: Letter from Mike Nicholas, Chief Executive Officer, dated April 29, 2020
4. Government Finance Officers Association: Letter from Emily Swenson Brock, Director, Federal Liaison Center, dated April 29, 2020
5. Investment Company Institute: Letter from Dorothy Donohue, Deputy General Counsel - Securities Regulation, dated April 15, 2020
6. National Association of Municipal Advisors: Letter from Susan Gaffney, Executive Director, dated April 29, 2020
7. National Association of State Auditors, Comptrollers and Treasurers: Letter from Beth Pearce, President, dated April 30, 2020
8. National Association of State Treasurers: Letter from Shaun Snyder, Executive Director, dated April 28, 2020
9. National Federation of Municipal Analysts: Letter from Nicole Byrd, Chair, dated April 29, 2020
10. 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 April 29, 2020
11. Steve Apfelbacher, Renee Boicourt, Marianne Edmonds, Robert Lamb, Nathaniel Singer and Noreen White [former MSRB Board members]: Letter dated April 29, 2020
Bank Dealers, Dealers, Municipal Advisors
Bank Dealers, Dealers
Bank Dealers, Dealers, Municipal Advisors
Municipal Advisors
Municipal Advisors
Bank Dealers, Dealers
Bank Dealers, Dealers, Municipal Advisors