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Notice 2013-02 - Request for Comment
Publication date: | Comment due:
Information for:

Bank Dealers, Dealers

1.  Barclays Capital Inc.: Letter from Scott Coya, Director, Municipal Compliance, dated March 15, 2013

2.  Bond Dealers of America: Letter from Michael Nicholas, Chief Executive Officer, dated March 15, 2013

3.  Charles Schwab & Co. Inc.: Letter from Michael P. Moran, Vice President, Fixed Income Compliance, dated March 15, 2013

4.  Eastern Bank: E-mail from James N. Fox, SVP and Managing Director, dated March 15, 2013

5.  Financial Information Forum: Letter from Arsalan Shahid, Program Director, dated March 15, 2013

6.  Financial Services Institute: Letter from David T. Bellaire, Executive Vice President and General Counsel, dated March 15, 2013

7.  Frost Bank: Letter from Robert N. Jacobs, Assistant Vice President/Compliance Officer, dated March 11, 2013

8.  Investment Company Institute: Letter from Dorothy Donohue, Deputy General Counsel-Securities Regulation, dated March 15, 2013

9.  J.W. Korth & Company LP: E-mail from James Korth dated March 14, 2013

10.  R.W. Smith & Associates, Inc.: E-mail from Paige Pierce, dated March 20, 2013

11.  Securities Industry and Financial Markets Association: Letter from Leslie M. Norwood, Managing Director and Associate General Counsel, dated March 15, 2013

12.  Seidel & Shaw, LLC: Letter from Thomas W. Shaw, President, dated March 15, 2013

13.  Standish: E-mail from Daniel Rabasco dated March 15, 2013

14.  TMC Bonds, L.L.C.: Letter from Thomas S. Vales, Chief Executive Officer, dated March 15, 2013

15.  Tradition Asiel Securities, Inc.: Letter from Eric M. Earnhardt, Chief Compliance Officer, dated March 19, 2013