Select regulatory documents by category:
Bank Dealers, Dealers, Municipal Advisors
Issuers, Municipal Advisors
All Comments to Notice 2022-13
- National Association of Municipal Advisors: Letter from Susan Gaffney, Executive Director, dated January 30, 2023
- Securities Industry and Financial Markets Association: Letter from Leslie M. Norwood, Managing Director and Associate General Counsel, dated January 30, 2023
- Wulff, Hansen & Co.: Letter from Chris Charles, President, dated December 29, 2022
Bank Dealers, Dealers, Municipal Advisors
All Comments to Notice 2022-11
- Bond Dealers of America: Letter from Michael Decker, Senior Vice President, January 17, 2023
- Securities Industry and Financial Markets Association: Letter from Leslie M. Norwood, Managing Director and Associate General Counsel, dated January 27, 2023
- XBRL US: Letter from Campbell Pryde, President and CEO, dated December 15, 2022
Municipal Advisors
Dealers
Bank Dealers, Dealers, Municipal Advisors, Municipal Fund Securities
Dealers
Bank Dealers, Dealers, Investors, Municipal Advisors
Bank Dealers
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 Placement 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
Dealers, Municipal Advisors
Bank Dealers, Dealers
Bank Dealers, Dealers
MSRB Amends Certain Fees for Dealers and Municipal Advisors and Proposes an Annual Rate Card Process
Bank Dealers, Dealers, Issuers