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MSRB Files Content Outline for the Municipal Advisor Principal Qualification Examination (Series 54)
Municipal Advisors
Municipal Advisors
Municipal Advisors
Bank Dealers, Dealers, Municipal Advisors
All Comments to Notice 2018-29
1. Bond Dealers of America: Letter from Mike Nicholas, Chief Executive Officer, dated January 15, 2019
2. City of San Diego: Letter
3. Government Finance Officers Association: Letter from Emily S. Brock, Director, Federal Liaison Center, dated January 15, 2019
4. National Association of Municipal Advisors: Letter from Susan Gaffney, Executive Director, dated January 15, 2019
5. Securities Industry and Financial Markets Association: Letter from Leslie M. Norwood, Managing Director and Associate General Counsel, and Bernard V. Canepa, Vice President and Assistant General Counsel, dated January 15, 2019
Bank Dealers, Dealers, Municipal Advisors
Bank Dealers, Dealers, Municipal Advisors
Municipal Advisors
Municipal Advisors
Municipal Advisors
All Comments to Notice 2018-25
1. Bond Dealers of America: Letter from Mike Nicholas, Chief Executive Officer, dated October 17, 2018; and Letter from Michael Nicholas, Chief Executive Officer, dated November 30, 2018
2. National Association of Municipal Advisors: Letter from Susan Gaffney, Executive Director, dated October 17, 2018
3. Securities Industry and Financial Markets Association: Letter from Leslie M. Norwood, Managing Director and Associate General Counsel, dated October 17, 2018
4. Springsted Incorporated: Letter from Kathleen A. Aho, President, dated October 17, 2018
Bank Dealers, Dealers, Municipal Advisors
Bank Dealers, Dealers, Municipal Advisors
All Comments to Notice 2018-20
1. Bond Dealers of America: Letter from Michael Nicholas, Chief Executive Officer, dated November 27, 2018
2. National Association of Municipal Advisors: Letter from Susan Gaffney, Executive Director, dated November 28, 2018
3. Securities Industry and Financial Markets Association: Letter from Michael Decker, Managing Director, dated November 27, 2018
All Comments to Notice 2018-19
1. Bond Dealers of America: Letter from Mike Nicholas, Chief Executive Officer, dated September 14, 2018
2. National Association of Municipal Advisors: Letter from Susan Gaffney, Executive Director, dated September 17, 2018
3. Securities Industry and Financial Markets Association: Letter from Leslie M. Norwood, Managing Director and Associate General Counsel, dated September 14, 2018
4. Wells Fargo Advisors: Letter from Robert J. McCarthy, Director of Regulatory Policy, dated September 14, 2018
Municipal Advisors
All Comments to Notice 2018-15
1. Acacia Financial Group, Inc.: Letter from Noreen P. White, Co-President, and Kim M. Whelan, Co-President, dated September 17, 2018
2. Bond Dealers of America: Letter from Mike Nicholas, Chief Executive Officer, dated September 17, 2018
3. C F I: Email from Stephen Holstein dated July 25, 2018
4. Ehlers Associates, Inc.: Letter from Steve Apfelbacher dated September 17, 2018
5. Government Finance Officers Association: Letter from Emily S. Brock, Director, Federal Liaison Center, dated September 19, 2018
6. National Association of Municipal Advisors: Letter from Susan Gaffney, Executive Director, dated September 18, 2018
7. National Federation of Municipal Analysts: Letter from Julie Egan, NFMA Industry Practices and Procedures Chair, and Lisa Washburn, NFMA Industry Practices and Procedures Co-Chair, dated September 17, 2018
8. Office of the Investor Advocate, U.S. Securities and Exchange Commission: Letter from Rick A. Fleming, Investor Advocate, dated September 17, 2018
9. Public Resources Advisory Group: Letter from Marianne F. Edmonds dated September 18, 2018
10. Securities Industry and Financial Markets Association: Letter from Leslie M. Norwood, Managing Director and Associate General Counsel, dated September 17, 2018
Municipal Advisors
Municipal Advisors
Municipal Advisors
All Comments to Notice 2018-14
1. Bond Dealers of America: Letter from Mike Nicholas, Chief Executive Officer, dated July 27, 2018
2. National Association of Municipal Advisors: Letter from Susan Gaffney, Executive Director, dated July 27, 2018
3. Securities Industry and Financial Markets Association: Letter from Leslie M. Norwood, Managing Director and Associate General Counsel, dated July 26, 2018
Bank Dealers, Dealers, Municipal Advisors
Issuers, Municipal Advisors
Bank Dealers, Dealers, Municipal Advisors
Bank Dealers, Dealers, Municipal Advisors
All Comments to Notice 2018-10
1. Bond Dealers of America: Letter from Mike Nicholas, Chief Executive Officer, dated August 6, 2018
2. Government Finance Officers Association: Letter from Emily S. Brock, Director, Federal Liaison Center, dated August 6, 2018
3. National Association of Municipal Advisors: Letter from Susan Gaffney, Executive Director, dated August 6, 2018
4. Securities Industry and Financial Markets Association: Letter from Leslie M. Norwood, Managing Director and Associate General Counsel, dated August 6, 2018
5. State of Florida, Division of Bond Finance: Letter from J. Ben Watkins III, Director, dated August 8, 2018
Bank Dealers, Dealers, Municipal Advisors
Bank Dealers, Dealers, Municipal Advisors