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Notice 2014-08 - Request for Comment
Publication date: | Comment due:
Information for:

Bank Dealers, Dealers, Municipal Advisors

1.  Arrow Partners: Letter from Steven Rubenstein dated May 16, 2014

2.  Association of Registration Management: Letter from Michele Van Tassel, President, dated May 16, 2014

3.  Bond Dealers of America: Letter from Michael Nicholas, Chief Executive Officer, dated May 16, 2014

4.  Cedar Partners Ltd: Letter from Christy Ping, Director/Chief Compliance Officer, dated May 16, 2014

5.  Central States Capital Markets: E-mail from Mark Detter dated April 17, 2014

6.  CFA Institute: Letter from Inigo Bengoechea, Director, and Dan Larocco, Manager, dated April 25, 2014

7.  Compass Securities Corporation: Letter from John R. Ahern, President

8.  Dixworks LLC: E-mail from Dennis Dix, Jr. dated April 11, 2014

9.  Fitzgibbon Toigo Associates, LLC: E-mail from Brian X. Fitzgibbon dated May 16, 2014

10.  Fortress Group, Inc.: Letter from Bruce A. Williamson, Managing Director and Chief Compliance Officer, dated May 16, 2014

11.  Frank Taylor: E-mail dated March 19, 2014

12.  George K. Baum & Company: Letter from Guy E. Yandel, EVP Public Finance, Dana L. Bjornson, EVP and Chief Compliance Officer, and Andrew F. Sears, SVP and General Counsel, dated May 16, 2014

13.  Government Credit Corporation: E-mail from Joseph Mooney dated March 18, 2014

14.  Hamersley Partners, LLC: Letter from Andrew Phillips, Principal and CCO, dated May 16, 2014

15.  IMMS LLC: E-mail from John Daly dated May 16, 2014

16.  Investment Company Institute: Letter from Tamara K. Salmon, Senior Associate Counsel, dated May 8, 2014

17.  Jorge Rosso: E-mail dated April 3, 2014

18.  Monahan & Roth, LLC: Letter from Lisa Roth, President, dated May 16, 2014

19.  MVision Private Equity Advisers USA LLC: Letter from Victoria Sherliker, General Counsel, dated May 16, 2014

20.  National Association of Independent Public Finance Advisors: Letter from Jeanine Rodgers Caruso, President, dated May 16, 2014

21.  New Albany Capital Partners, LLC: Letter from Rick Wayman dated May 14, 2014

22.  Oyster River Capital LP: Letter from Richard A. Murphy dated May 16, 2014

23.  Perkins Fund Marketing LLC: Letter from Gilman C. Perkins, Principal and Managing Member, dated May 16, 2014

24.  Raftelis Financial Consultants, Inc.: Letter from Alexis F. Warmath, Vice President, and Christopher P.N. Woodcock, President, Woodcock & Associates, Inc., dated May 16, 2014

25.  Securities Industry and Financial Markets Association: Letter from Leslie M. Norwood, Managing Director and Associate General Counsel, dated May 16, 2014

26.  Sonja Sullivan: E-mail dated May 16, 2014

27.  Stacy Havener: E-mail dated May 16, 2014

28.  Stonehaven: Letter from Steven Jafarzadeh, Managing Director and Partner, dated May 16, 2014

29.  Tessera Capital Partners: Letter from Donna DiMaria, CEO/CCO, dated May 16, 2014

30.  Third Party Marketers Association: Letter from Donna DiMaria, Chairman of the Board of Directors, dated May 16, 2014

31. Tibor Partners Inc.: E-mail from William Johnston dated March 18, 2014

32. Timothy D. Wasson: Letter

33.  Yuba Group: Letter from Linda Fan, Managing Partner, dated April 28, 2014

34.  Zions First National Bank: Letter from W. David Hemingway, Executive Vice President, dated May 16, 2014

35.  Zions First National Bank: Letter from James G. Livingston, Senior Vice President, dated May 16, 2014