Select regulatory documents by category:
1. Bernardi Securities, Inc.: Letter from Eric Bederman, SVP, Chief Operating & Compliance Officer, dated November 17, 2015
2. Bond Dealers of America: Letter from Michael Nicholas, Chief Executive Officer, dated December 10, 2015
3. Brandis Tallman LLC: Letter from Richard Brandis
4. Castle Advisory Company: E-mail from Garth Schulz dated November 10, 2015
5. Coastal Securities: E-mail from Chris Melton, Executive Vice President, dated December 10, 2015
6. Financial Services Institute: Letter from David T. Bellaire, Executive Vice President & General Counsel, dated December 10, 2015
7. Geraldine Lettieri: E-mail dated November 10, 2015
8. Investment Company Institute: Letter from Martin A. Burns, Chief Industry Operations Officer, dated December 1, 2015
9. Securities Industry and Financial Markets Association: Letter from Leslie M. Norwood, Managing Director and Associate General Counsel, dated December 10, 2015
Bank Dealers, Dealers, Municipal Advisors
Bank Dealers, Dealers, Municipal Advisors
Bank Dealers, Dealers, Municipal Advisors
1. Bond Dealers of America: Letter from Michael Nicholas, Chief Executive Officer, dated November 19, 2015
2. National Association of Municipal Advisors: Letter from Terri Heaton, President, dated November 19, 2015
3. Office of the Investor Advocate, U.S. Securities and Exchange Commission: Letter from Rick A. Fleming, Investor Advocate, dated October 29, 2015
4. Securities Industry Financial Markets Association: Letter from Michael Decker, Managing Director, dated November 19, 2015
5. Stephen Heaney: E-mail dated November 10, 2015
Municipal Advisors
Bank Dealers, Dealers, Municipal Advisors
Bank Dealers, Dealers, Municipal Advisors
Bank Dealers, Dealers, Municipal Advisors
1. American Governmental Financial Services: E-mail from Robert Doty dated August 24, 2015
2, Andrew Glassberg: E-mail dated August 17, 2015
3. Association for Budgeting and Financial Management: Letter from Robert Kravchuk, Chair, et al., dated September 13, 2015
4. Bond Dealers of America: Letter from Michael Nicholas, Chief Executive Officer, dated August 24, 2015
5. Brandeis University: Letter from Daniel Bergstresser, Associate Professor of Finance, dated September 14, 2015
6. Coastal Securities: E-mail from Chris Melton, Executive Vice President, dated August 5, 2015
7. George Mason University: Letter from Jonathan L. Gifford, Professor and Director of Center for Transportation P3 Policy, dated September 1, 2015
8. John Mousseau: E-mail dated July 29, 2015
9. Larry Harris: Letter dated September 6, 2015
10. New York University: Letter from Norman White, Clinical Professor, et al., dated September 16, 2015
11. Pennsylvania State University: Letter from Patrick J. Cusatis, Associate Professor of Finance, dated September 10, 2015
12. Securities Industry and Financial Markets Association: Letter from Sean Davy, Managing Director, Capital Markets Division, and David L. Cohen, Managing Director and Associate General Counsel, Municipal Securities Division, dated September 11, 2015
13. University of Louisville: Letter from James R. Ramsey, President, dated September 4, 2015
Bank Dealers, Dealers, Municipal Advisors
1. Americans for Financial Reform; American Federation of State, County and Municipal Employees; and Consumer Federation of America: Letter dated July 13, 2015
2. Government Finance Officers Association: Letter from Dustin McDonald, Director, Federal Liaison Center, dated July 20, 2015
3. Investment Company Institute: Letter from Dorothy Donohue, Deputy General Counsel--Securities Regulation, dated July 13, 2015
4. Jay M. Goldstone: Letter dated July 10, 2015
5. Jerry Gold: Letter dated July 17, 2015
6. Lamont Financial Services Corporation: Letter from Bob Lamb, President, dated July 7, 2015
7. Loews Corporation: Letter from Mark G. Muller dated July 1, 2015
8. National Association of Municipal Advisors: Letter from Terri Heaton, President, dated July 13, 2015
9. National Federation of Municipal Analysts: Letter from Lisa S. Good, Executive Director, dated July 13, 2015
10. Office of the Investor Advocate, U.S. Securities and Exchange Commission: Letter from Rick A. Fleming, Investor Advocate, dated July 13, 2015
11. Robert E. Rutkowski: E-mail dated July 13, 2015
12. Robert Zubak: Letter dated July 6, 2015
13. Samson Capital Advisors: Letter from Benjamin S. Thompson, Managing Principal and Chief Executive Officer, dated July 7, 2015
14. Securities Industry and Financial Markets Association: Letter from Michael Decker, Managing Director, dated July 13, 2015
15. Wells Capital Management Incorporated: Letter from Gilbert L. Southwell III, Vice President, dated July 8, 2015
Bank Dealers, Dealers, Municipal Advisors
Municipal Advisors
Bank Dealers, Dealers, Municipal Advisors
Bank Dealers, Dealers, Municipal Advisors