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Notice 2022-07 - Request for Comment
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Bank Dealers
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All Comments to Notice 2022-07
- American Securities Association: Letter from Kelli McMorrow, Head of Government Affairs, dated September 30, 2022
- Amuni Financial, Inc.: Letter from Mike Petagna, President, dated August 23, 2022
- Bailey, Bill: Email dated August 4. 2022
- Belle Haven Investments, L.P.: Letter from Matt Dalton, Chief Executive Officer, dated October 3, 2022
- Bernardi Securities, Inc.: Letter from Ronald P. Bernardi, President and CEO, dated September 30, 2022
BetaNXT: Letter from Will Leahey, Head of Regulatory Compliance, dated October 3, 2022
- Bond Dealers of America: Letter from Michael Decker, Senior Vice President for Public Policy, dated October 3, 2022
- Bryant Bank: Letter from David Long, Executive Vice President, Correspondent Banking/Capital Markets, and Vincent Webb, Managing Director, Bryant Bank Capital Markets, dated September 28, 2022
Cambridge Investment Research, Inc.: Letter from Seth A. Miller, General Counsel, President, Advocacy and Administration, dated October 3, 2022
- Cantella & Co., Inc.: Email from Jay Lanstein, Chief Executive Officer and Chief Technology Officer, dated September 16, 2022
- Cantone Research, Inc.: Email from Maryann Cantone dated August 2, 2022
- Colwell, J.D.: Letter dated September 9, 2022
- DeRobbio, Raymond: Email dated August 3, 2022
- Dimensional Fund Advisors LP: Letter from Gerard O’Reilly, Co-CEO and Chief Investment Officer, and David A. Plecha, Global Head of Fixed Income, dated September 26, 2022
Estrada Hinojosa & Co., Inc.: Letter from Robert A. Estrada, Chairman (Emeritus), dated October 3, 2022
- Falcon Square Capital, LLC: Letter from Melissa P. Hoots, CEO/CCO, dated October 3, 2022
- Financial Information Forum: Letter from Howard Meyerson, Managing Director, dated October 3, 2022; Supplemental Letter from Howard Meyerson, Managing Director, dated April 27, 2023
- Ford & Associates, Inc.: Letter from Jonathan W. Ford, Senior Vice President, dated September 9, 2022
- Hartfield, Titus & Donnelly, LLC: Letter from Edward J. Smith, General Counsel and Chief Compliance Officer, dated September 14, 2022
- Herbert J. Sims & Co., Inc.: Letter from Melissa Messina, Executive Vice President, Associate General Counsel, R. Jeffrey Sands, Managing Principal, General Counsel, and William Sims, Managing Principal, dated October 3, 2022
- Higgins Capital Management, Inc.: Email from Deborah Higgins dated September 19, 2022
- Hilltop Securities: Letter from Lana Calton, Executive Managing Director, Head of Clearing, dated October 3, 2022
- Honey Badger Investment Securities, LLC: Letter from Joe Lee, CEO, dated September 30, 2022
- ICE Bonds Securities Corporation: Letter from Robert Laorno, General Counsel, dated September 30, 2022
- InspereX LLC: Letter from Robert D. Bullington, Vice President, Compliance Officer, dated October 3, 2022
- Institutional Securities Corporation: Letter from Scott Hayes, President and CEO, and Chris Neidlinger, CCO, dated September 30, 2022
- Investment Company Institute: Letter from Sarah A. Bessin, Associate General Counsel, dated October 3, 2022
- Investment Planning Group: Email from Darius Lashkari dated August 2, 2022
- Isaak Bond Investments: Letter from John Isaak, Sr. Vice President, dated August 16, 2022
- Isaak Bond Investments, Inc.: Letter from Donald J. Lemek, VP-Operations and CFO
- Kiley Partners, Inc.: Email from Mike Kiley, Owner, dated September 27, 2022
- Madison Paige Securities: Letter from Gary Herschitz, CEO, dated September 30, 2022
- Mayes, Christopher: Email dated September 27, 2022
Miner, Kathy: Letter dated October 2, 2022
- Municipal Securities Rulemaking Board: Memorandum dated September 12, 2022
- Northland Securities Inc.: Letter from Randy Nitzsche, President and CEO, dated October 3, 2022
- Oberweis Securities, Inc.: Letter from James W. Oberweis, President, dated September 28, 2022
Regional Brokers, Inc.: Letter from H. Deane Armstrong, CCO, and Joseph A. Hemphill III, CEO, dated October 3, 2022
- Robert Blum Municipals, Inc.: Letter from Robert Blum, President, dated September 16, 2022
- Roosevelt & Cross, Inc.: Letter from F. Gregory Finn, Chief Executive Officer, dated October 3, 2022
- RW Smith & Associates, LLC: Letter from Christopher Ferreri, President, dated September 13, 2022
- SAMCO Capital Markets, Inc.: Letter from Lee Maverick, Chief Compliance Officer, dated September 30, 2022
- Sanderlin Securities LLC: Letter from Matthew Kamler, President, dated September 27, 2022
- Securities Industry and Financial Markets Association and the SIFMA Asset Management Group: Letter from Kenneth E. Bentsen, Jr., President and CEO, dated October 3, 2022
- Sentinel Brokers Company, Inc.: Letter from Joseph Lawless, CEO, dated September 30, 2022
- Sheedy, Edward: Email dated August 2, 2022
- Stern Brothers and Co.: Letter dated October 3, 2022
- TRADEliance, LLC: Letter from Jesy LeBlanc and Kat Miller dated September 28, 2022
- Tuma, William: Email dated August 8, 2022
- Wells Fargo & Company: Letter from Nyron Latif, Head of Operations, Wells Fargo Wealth and Investment Management, and Todd Primavera, Head of Operations, Wells Fargo Corporate and Investment Bank, dated October 3, 2022
- Wiley Bros.-Aintree Capital, LLC: Letter from Keener Billups, Managing Director, Municipal Bond Department, dated September 20, 2022
- Wintrust Investments, LLC: Email from Thomas Kiernan dated August 2, 2022
- Zia Corporation: Email from Glenn Burnett dated September 6, 2022