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Notice 2017-05 - Request for Comment
Publication date: | Comment due:
Information for:

Bank Dealers, Dealers, Municipal Advisors

Rule Number:

Rule G-34

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