Select regulatory documents by category:

Regulatory Document Type

Back to top
Notice 2011-50 - Request for Comment
Publication date: | Comment due:
Rule Number:

Rule G-8, Rule G-9

1.  Bond Dealers of America: Letter from Michael Nicholas, Chief Executive Officer, dated November 3, 2011

2.  Dolan, Tom: Letter dated October 21, 2011

3.  Hartfield, Titus & Donnelly, LLC: Letter from Mark J. Epstein, President and CEO, dated November 3, 2011

4.  Knight BondPoint: Letter from Marshall Nicholson, Managing Director, dated November 3, 2011

5.  Regional Brokers, Inc.: Letter from Joseph A. Hemphill III, President, and H. Deane Armstrong, CCO, dated November 1, 2011

6.  Securities Industry and Financial Markets Association: Letter from Leslie M. Norwood, Managing Director and Associate General Counsel, dated November 2, 2011

7.  TMC Bonds L.L.C.: Letter from Thomas S. Vales, Chief Executive Officer, dated November 3, 2011

8.  Vista Securities, Inc.: Letter from Paul Larkin, President, dated November 1, 2011

9.  Wolfe & Hurst Bond Brokers, Inc.: Letter from O. Gene Hurst, President, dated November 3, 2011