Select regulatory documents by category:
Dealers, General Public, Municipal Advisors
Dealers, General Public, Municipal Advisors
All Comments to Notice 2023-11
- Advisabilitys: Email from Andrew Boyack dated January 9, 2024
- Academy Securities, Inc.: Letter from Michael Boyd, Chief Compliance Officer, dated February 23, 2024
- American Securities Association: Letter from Jessica R. Giroux, General Counsel, dated February 26, 2024
- Amuni Financial, Inc.: Letter from Mike Petagna, President, dated January 8, 2024
- Anonymous: Letter
- Bond Dealers of America: Letter from Michael Decker, Senior Vice President, dated February 26, 2024
- Clary Consulting Company: Email from Lowell Clary dated February 16, 2024
- Derivative Advisors: Letter from Elaine M. Philbrick, Principal, dated December 6, 2023
- Dixworks, LLC: Email from Dennis Dix, Jr. dated February 9, 2024
- Echo Valley Advisors, LLC: Letter from Julie Needham, President, dated February 23, 2024
- Herold & Lantern Investments: Letter from Brad Harris, Director of Fixed Income – Municipal Bonds
- Municipal Capital Markets Group, Inc.: Letter from Fred R. Cornwall, President, dated February 26, 2024
- National Association of Municipal Advisors: Letter from Susan Gaffney, Executive Director, dated February 26, 2024
- Regional Brokers, Inc.: Letter from H. Deane Armstrong, CCO, dated February 26, 2024
- Ridgeline Municipal Strategies, LLC: Email from Dmitry Semenov dated December 29, 2023
- Sanderlin Securities LLC: Letter from Matthew Kamler, President, dated January 26, 2024
- Searle & Co., Inc.: Letter from Robert S. Searle, President, dated February 16, 2024
- Securities Industry and Financial Markets Association: Letter from Leslie M. Norwood, Managing Director and Associate General Counsel, Head of Municipal Securities, dated February 26, 2024
- Shnayder, Yana: Email dated December 13, 2023
- Siebert Williams Shank & Co., LLC: Letter from Suzanne Shank, President & Chief Executive Officer, and Gary Hall, President of Infrastructure & Public Finance, dated February 26, 2024
- Speer Financial, Inc.: Letter from Daniel Forbes, President, dated February 20, 2024
- Stern Brothers: Letter dated February 26, 2024
Bank Dealers, Dealers, General Public, Investors
- Securities Industry and Financial Markets Association: Letter from Leslie M. Norwood, Managing Director and Associate General Counsel, dated December 15, 2023
All Comments to Notice 2023-02
- AKF Consulting: Letter from Andrea Feirstein, Managing Director, and Mark Chapleau, Senior Consultant, dated April 20, 2023
- Bond Dealers of America: Letter from Michael Decker, Senior Vice President, dated April 17, 2023
- College Savings Plans Network: Letter from Rachel Biar, Nebraska Assistant State Treasurer, NEST 529 College Savings Program Director, Chairman, College Savings Plans Network, dated April 17, 2023
- Government Finance Officers Association: Letter from Emily Brock, Director, Federal Liaison Center, dated July 21, 2023
- McLane, Curtis: Email dated April 19, 2023
- my529: Letter from Richard K. Ellis, Executive Director, dated April 17, 2023
- Securities Industry and Financial Markets Association: Letter from Leslie M. Norwood, Managing Director and Associate General Counsel, Head of Municipal Securities, dated April 17, 2023
Municipal Fund Securities
All Comments to Notice 2021-17
1. 1919 Investment Counsel, LLC: Letter from Robert Fisher, Vice President, Credit Analyst - Municipal
2. AGVP Advisory: Email from Dan Aschenbach dated January 18, 2022
3. American Bankers Association: Letter from Justin M. Underwood, Executive Director, ABASA, Vice President, Banking Policy, dated March 8, 2022
4. American Securities Association: Letter from Christopher A. Iacovella, Chief Executive Officer, dated March 8, 2022
5. Anonymous: Email dated February 21, 2022
6. Baker Tilly Municipal Advisors, LLC: Letter from the BTMA Disclosure Leadership Team: Brian Colton, Susan Reed and Alyssa Glaser, dated March 8, 2022
7. Bloomberg L.P.: Letter from Gregory Babyak, Global Head of Regulatory Affairs, dated March 8, 2022
8. Bond Dealers of America: Letter from Michael Decker, Senior Vice President, dated March 8, 2022
9. Breckinridge Capital Advisors, Inc.: Letter from Adam Stern, Co-Head of Research, dated February 7, 2022
10. Build America Mutual: Letter from Laura Levenstein, Chief Risk Officer, and Michael Stanton, Head of Strategy & Communications, dated March 8, 2022
11. California Green Bond Market Development Committee (CGBMDC): Letter from David Wooley, Cecilia Latapi, and Michael Paparian, Secretariat for CGBMDC, dated March 8, 2022
12. Center for American Progress: Letter from Alexandra Thornton, Senior Director, Tax Policy, and Kevin DeGood, Director, Infrastructure Policy, dated March 8, 2022
13. Ceres and the Ceres Accelerator for Sustainable Capital Markets: Letter from Steven M. Rothstein, Managing Director, and Jim Scott, Senior Advisor, Financial Institutions, dated March 2, 2022
14. City of Detroit: Letter
15. City of New York, Office of the Comptroller: Letter from Marjorie E. Henning, Deputy Comptroller for Public Finance, dated March 7, 2022
16. City of San Diego, Debt Management: Letter from Lakshmi Kommi, Debt Management Director, dated March 9, 2022
17. Climate Resilience Consulting: Email from Joyce Coffee dated December 17, 2021
18. Community Capital Management, LLC: Letter from Julie Egan, Director of Research/Portfolio Manager
19. Consumer Federation of America: Letter from Dylan Bruce, Financial Services Counsel, dated March 14, 2022
20. Disclosure Industry Workgroup: Letter dated March 8, 2022
21. Domini Impact Investments LLC: Letter from Mary Beth Gallagher, Director of Engagement, dated March 8, 2022
22. Goldman Sachs: Letter
23. Government Finance Officers Association: Letter from Emily Swenson Brock, Director, Federal Liaison Center, dated March 8, 2022
24. Intercontinental Exchange, Inc.: Letter from Anthony Belcher, Vice President, Sustainable Finance, dated March 14, 2022
25. Investment Company Institute: Letter from Dorothy Donohue, Deputy General Counsel - Securities Regulation, dated March 8, 2022
26. ISS ESG: Letter from Maximilian Horster, Head of ISS ESG Business, and John McLean, ISS ESG, Muni QualityScore, dated March 8, 2022
27. Kestrel 360, Inc.: Letter from Monica Reid, CEO and Founder, dated March 2022
28. Lansing Board of Water & Light: Email from Heather Shawa, dated March 3, 2022
29. Large Public Power Council: Letter from John Di Stasio, President, dated March 22, 2022
30. Lord Abbett & Co. LLC: Letter from Daniel S. Solender, Partner and Director of Tax Free Fixed Income
31. Ludvigsen, Phillip J.: Letter
32. MacKay Shields: Letter
33. McIntyre, James: Letter dated March 8, 2022
34. Milken Institute Center for Financial Markets: Letter from Dan Carol, Senior Director, Milken Institute Center for Financial Markets, and Caitlin MacLean, Senior Director, Innovative Finance, Milken Institute, and members of the Milken Institute Public Finance Advisory Council, dated March 8, 2022
35. National Association of Bond Lawyers: Letter from Ann D. Fillingham, President, dated March 7, 2022
36. National Association of College and University Business Officers: Letter from Elizabeth L. Clark, Vice President, Policy and Research, dated March 8, 2022
37. National Association of Health and Educational Facilities Finance Authorities: Letter from Dennis Reilly, President, and Charles Samuels, of Counsel, dated March 7, 2022
38. National Association of Municipal Advisors: Letter from Susan Gaffney, Executive Director, dated March 8, 2022
39. National Federation of Municipal Analysts: Letter from Lisa S. Good dated March 8, 2022
40. New Jersey Infrastructure Bank: Letter dated March 8, 2022
41. New York City Housing Development Corporation: Letter from Ellen K. Duffy, EVP Debt Issuance & Finance
42. PFM Financial Advisors, LLC: Letter from Cheryl Maddox, Chief Legal and Compliance Officer, and Daniel Hartman, Chief Executive Officer, dated March 7, 2022
43. PIMCO: Letter from David Hammer, Managing Director and Head of Municipal Bond Portfolio Management, dated March 4, 2022\
44. Principles for Responsible Investment: Letter from Greg Hershman, Head of US Policy, dated March 8, 2022
45. Public Finance Initiative: Letter from Lourdes German, Executive Director, dated March 8, 2022
46. San Francisco Public Utilities Commission: Letter
47. Securities Industry and Financial Markets Association: Letter from Leslie M. Norwood, Managing Director and Associate General Counsel, dated March 8, 2022
48. Sperry Capital Inc.: Letter from Bryant Jenkins, Principal, dated March 8, 2022
49. State of Florida, Division of Bond Finance: Letter dated March 8, 2022
50. State of Wisconsin, Department of Administration: Letter from David R. Erdman, Capital Finance Director, dated March 8, 2022
51. TIAA: Letter from Amy M. O'Brien, Executive Vice President, Head of Responsible Investment, and Yves P. Denize, Senior Managing Director, Division General Counsel, dated March 8, 2022
52. Utah State Treasurer et al.: Letter dated March 8, 2022
Bank Dealers, Dealers, Municipal Advisors
All Comments to Notice 2021-12
1. Bond Dealers of America: Letter from Michael Decker, Senior Vice President, dated January 19, 2022
2. First River Advisory L.L.C.: Letter from Shelley J. Aronson dated January 18, 2022
3. National Association of Municipal Advisors: Letter from Susan Gaffney, Executive Director, dated January 19, 2022
4. Securities Industry and Financial Markets Association: Letter from Leslie M. Norwood, Managing Director and Associate General Counsel, and Matthew Roberts, Assistant Vice President, dated January 19, 2022
Bank Dealers, Dealers, Municipal Advisors
All Comments to Notice 2021-08
1. American Securities Association: Letter from Christopher A. Iacovella, Chief Executive Officer, dated June 28, 2021
2. Bond Dealers of America: Letter from Michael Decker, Senior Vice President, dated June 28, 2021
3. Securities Industry and Financial Markets Association: Letter from Leslie M. Norwood, Managing Director and Associate General Counsel, dated June 28, 2021
4. Szaro, Jennifer: Email dated May 17, 2021
Bank Dealers, Dealers, Municipal Advisors
All Comments to Notice 2020-19
1. 280 Securities LLC: Letter from Wm. Thomas Lockard, Managing Director, dated January 6, 2021
2, American Bankers Association: Letter from Justin M. Underwood dated January 11. 2021
3. American Securities Association: Kelli McMorrow, Head of Government Affairs, dated January 11, 2021
4. Belton, David F.: Letter
5. Bliss, Evan: Email dated January 13, 2021
6. Bond Dealers of America: Letter from Mike Nicholas, Chief Executive Officer, dated January 11, 2021
7. Ceres, Inc.: Letter from Steven M. Rothstein, Managing Director, Ceres Accelerator for Sustainable Capital Markets, dated January 11, 2021
8. Climate Advisory: Letter from Lisa L. Churchill, Founder, dated January 11, 2021
9. Geos Institute: Email from Tonya Graham dated January 11, 2021
10. Global Legal Entity Identifier Foundation: Letter from Stephan Wolf, CEO, dated January 5, 2021
11. Government Finance Officers Association: Letter from Emily Swanson Brock, Director, Financial Liaison Center, dated January 11, 2021
12. National Association of Municipal Advisors: Letter from Susan Gaffney, Executive Director, dated January 11, 2021
13. National Association of State Treasurers: Letter from Shaun Snyder, Executive Director, dated January 11, 2021
14. PFM Financial Advisors LLC: Letter from Leo Karwejna, Managing Director, Chief Compliance Officer, dated January 12, 2021
15. 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 11, 2021
16. Ugarte, Allyson: Letter dated January 11, 2021
17. XBRL US: Letter from Campbell Pryde, President and CEO, dated January 11, 2021
Bank Dealers, Dealers, Municipal Advisors
All Comments to Notice 2020-02
1. Acacia Financial Group, Inc.: Letter from Kim M. Whelan, Co-President, and Noreen P. White, Co-President, dated April 29, 2020
2. Action Center on Race and the Economy, AFSCME, AFL-CIO, Americans for Financial Reform Education Fund, Consumer Federation of America and Public Citizen: Letter dated April 29, 2020
3. Bond Dealers of America: Letter from Mike Nicholas, Chief Executive Officer, dated April 29, 2020
4. Government Finance Officers Association: Letter from Emily Swenson Brock, Director, Federal Liaison Center, dated April 29, 2020
5. Investment Company Institute: Letter from Dorothy Donohue, Deputy General Counsel - Securities Regulation, dated April 15, 2020
6. National Association of Municipal Advisors: Letter from Susan Gaffney, Executive Director, dated April 29, 2020
7. National Association of State Auditors, Comptrollers and Treasurers: Letter from Beth Pearce, President, dated April 30, 2020
8. National Association of State Treasurers: Letter from Shaun Snyder, Executive Director, dated April 28, 2020
9. National Federation of Municipal Analysts: Letter from Nicole Byrd, Chair, dated April 29, 2020
10. 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 April 29, 2020
11. Steve Apfelbacher, Renee Boicourt, Marianne Edmonds, Robert Lamb, Nathaniel Singer and Noreen White [former MSRB Board members]: Letter dated April 29, 2020
Bank Dealers, Dealers, Municipal Advisors
All Comments to Notice 2019-13
1. Acacia Financial Group, Inc.: Letter from Kim M. Whelan, Co-President, and Noreen P. White, Co-President, dated August 19, 2019
2. Bond Dealers of America: Letter from Michael Nicholas, Chief Executive Officer, dated August 23, 2019
3. Columbia Capital Management, LLC: Letter from Jeff White, Managing Member, dated August 19, 2019
4. Crews & Associates, Inc.: Letter from Don Winton, Chief Operating Officer, dated August 23, 2019
5. Ehlers: Letter from Phil Cosson, Ehlers Board Chairman
6. First Kentucky Securities Corp.: Email from Stan Kramer dated August 13, 2019
7. Government Finance Officers Association: Letter from Emily Swenson Brock, Director, Federal Liaison Center, dated August 19, 2019
8. KPM Financial, LLC: Letter from Jay Saunders, Director
9. Kutak Rock LLP: Letter from Joshua P. Meyer dated August 16, 2019
10. Lewis Young Robertson & Burningham, Inc.: Letter from Laura D. Lewis, Principal, dated August 7, 2019
11. National Association of Municipal Advisors: Letter from Susan Gaffney, Executive Director, dated August 19, 2019
12. Phoenix Advisors, LLC: Letter from David B. Thompson, CEO, dated August 14, 2019
13. Richard Li: Email dated January 29, 2020
14. Robert W. Doty: Letter dated August 19, 2019
15.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 August 19, 2019
16. Speer Financial, Inc.: Letter from Daniel Forbes, President, dated August 19, 2019
17. State of Florida, Division of Bond Finance: Letter from J. Ben Watkins III, Director, dated September 3, 2019
18. Zions Public Finance, Inc. and Zions Bank Public Finance: Letter from James Livingston, Executive Vice President, dated August 14, 2019
All Comments to Notice 2019-01
1. Bond Dealers of America: Letter from Mike Nicholas, Chief Executive Officer, dated March 5, 2019
2. Regional Brokers, Inc.: Letter from H. Deane Armstrong, CCO, and Joseph A. Hemphill, CEO, dated March 7, 2019
3. Securities Industry and Financial Markets Association: Letter from Leslie M. Norwood, Managing Director and Associate General Counsel, dated March 6, 2019
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
All Comments to Notice 2018-22
1. Amuni Financial, Inc.: Letter from Mike Petagna, President, dated October 31, 2018
2. Bond Dealers of America: Letter from Michael Nicholas, Chief Executive Officer, dated November 13, 2018
3. Emmet & Co.: Email from Robert Ventrice dated September 14, 2018
4. Hartfield, Titus & Donnelly, LLC: Letter from Edward J. Smith, Chief Compliance Officer, and Christopher C. Ferreri, Chief Operating Officer, dated November 13, 2018
5. Headlands Tech Global Markets, LLC: Letter from Matthew F. Andresen, Chief Executive Officer, dated October 26, 2018
6. Regional Brokers, Inc.: Letter from Joseph A. Hemphill, III, Chief Executive Officer, and H. Deane Armstrong, Chief Compliance Officer, dated November 6, 2018
7. RW Smith & Associates, LLC: Letter from Denien Rasmussen, Co-Chief Compliance Officer, Chief Operating Officer, dated November 13, 2018
8. Securities Industry and Financial Markets Association: Letter from Leslie M. Norwood, Managing Director and Associate General Counsel, dated November 13, 2018
9. TMC Bonds: Letter from Thomas S. Vales, Chief Executive Officer, dated November 14, 2018
Bank Dealers, Dealers
1. Wells Fargo Advisors: Letter from Robert J. McCarthy, Director of Regulatory Policy, dated November 5, 2018
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
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
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
All Comments to Notice 2018-09
1. Bond Dealers of America: Letter from Mike Nicholas, Chief Executive Officer, dated July 16, 2018
2. Financial Services Institute: Letter from Robin Traxler, Vice President, Regulatory Affairs and Associate General Counsel, dated July 16, 2018
3. Securities Industry and Financial Markets Association: Letter from Leslie M. Norwood, Managing Director and Associate General Counsel, dated July 16, 2018
Bank Dealers, Dealers, Municipal Advisors
1. Bond Dealers of America: Letter from Mike Nicholas, Chief Executive Officer, dated February 9, 2018
3. Caine Mitter & Associates Incorporated: Email from Thomas Caine dated February 5, 2018
4. College Savings Foundation: Letter from Richard J. Polimeni, Chairman, dated February 9, 2018
5. Darren Ward: Email dated December 8, 2017
6. Financial Services Institute: Letter from Robin Traxler, Vice President, Regulatory Affairs and Associate General Counsel, dated February 9, 2018
7. Government Finance Officers Association: Letter from Emily Swenson Brock, Director, Federal Liaison Center, dated February 13, 2018
8. Investment Company Institute: Letter from Tamara K. Salmon, Associate General Counsel, dated December 21, 2017
9. National Association of Bond Lawyers: Letter from Alexandra M. MacLennan, President, dated February 23, 2018
10. National Association of Health and Educational Facilities Finance Authorities: Letter from Charles A. Samuels, Counsel for NAHEFFA, dated January 29, 2018
11. National Association of Municipal Advisors: Letter from Susan Gaffney, Executive Director, dated February 9, 2018
12. National Association of State Treasurers and College Savings Plans Network: Letter from Elizabeth Pearce, NAST President and Vermont State Treasurer, and James DiUlio, CSPN Chair and Executive Director, Wisconsin 529 College Savings Program, dated February 9, 2018
13. PFM: Letter from Leo Karwejna, Managing Director and Chief Compliance Officer, dated February 12, 2018
14. Securities Industry and Financial Markets Association: Letter from Leslie M. Norwood, Managing Director and Associate General Counsel, dated January 23, 2018
15. Wells Fargo Advisors: Letter from Robert J. McCarthy, Director of Regulatory Policy, dated February 9, 2018
1. Bond Dealers of America: Letter from Mike Nicholas, Chief Executive Officer, dated November 16, 2017
2. City of San Diego: Letter
3. Global Legal Entity Identifier Foundation: Email from Stephan Wolf dated November 6, 2017
4. Government Finance Officers Association: Letter from Emily Brock, Director, Federal Liaison Center, dated November 27, 2017
5. Michael Paganini: Email dated September 15, 2017
6. National Association of Bond Lawyers: Letter from Alexandra M. MacLennan, President, dated November 17, 2017
7. National Association of Municipal Advisors: Letter from Susan Gaffney, Executive Director, dated November 13, 2017
8. National Federation of Municipal Analysts: Letter from Julie Egan, Chair, and Lisa Washburn, Industry Practices and Procedures Chair, dated November 9, 2017
9. Robert W. Doty: Letter dated November 2, 2017
10. Securities Industry and Financial Markets Association: Letter from Leslie M. Norwood, Managing Director and Associate General Counsel, dated November 15, 2017
11. TMC Bonds: Letter from John S. Craft, Managing Director, dated November 13, 2017
12. Wells Capital Management Incorporated: Letter from Gilbert L. Southwell III, Vice President, dated November 1, 2017
Bank Dealers, Dealers
1. American Funds Distributors, Inc.: Letter from Maria Manotok, Senior Counsel, dated September 21, 2017
2. Ascensus College Savings: Letter from Sandra Madden, General Counsel, dated September 21, 2017
3. College Savings Plans Network and College Savings Foundation: Letter from Richard J. Polimeni, Chairman, College Savings Foundation, and Young Boozer, Chairman, College Savings Plans Network, dated September 21, 2017
4. Investment Company Institute: Letter from Tamara K. Salmon, Senior Associate Counsel, dated September 21, 2017
5. Securities Industry and Financial Markets Association: Letter from Leslie M. Norwood, Managing Director and Associate General Counsel, and Bernard Canepa, Vice President and Assistant General Counsel, dated September 21, 2017
6. State of West Virginia: Letter from John D. Perdue, State Treasurer, dated September 18, 2017
Bank Dealers, Dealers, Municipal Advisors
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
Bank Dealers, Dealers, Municipal Advisors
1. Acacia Financial Group, Inc.: Letter from Noreen P. White, Co-President, and Kim M. Whelan, Co-President, dated April 7, 2017
2. Bond Dealers of America: Letter from Mike Nicholas, Chief Executive Officer, dated March 24, 2017
3. Fidelity Investments: Letter from Norman L. Ashkenas, Chief Compliance Officer, Fidelity Brokerage Services, LLC, Richard J. O'Brien, Chief Compliance Officer, National Financial Services, LLC, and Jason Linde, Chief Compliance Officer, Fidelity Investments Institutional Services Company, LLC, dated March 24, 2017
4. Financial Services Institute: Letter from David T. Bellaire, Executive Vice President and General Counsel, dated March 24, 2017
5. Lewis Young Robertson & Burningham, Inc.: Letter from Laura D. Lewis, Principal, dated March 24, 2017
6. National Association of Municipal Advisors: Letter from Susan Gaffney, Executive Director, dated March 24, 2017
7. PFM: Letter from Leo Karwejna, Chief Compliance Officer, Cheryl Maddox, General Counsel, and Catherine Humphrey-Bennett, Municipal Advisory Compliance Officer, dated March 23, 2017
8. Securities Industry and Financial Markets Association: Letter from Leslie M. Norwood, Managing Director and Associate General Counsel, dated March 24, 2017
9. Strategic Insight: Letter from Paul Curley, Director of College Savings Research, dated May 16, 2017
10. Third Party Marketers Association: Letter from Donna DiMaria, Chairman of the Board of Directors and Chair of the 3PM Regulatory Committee, dated March 23, 2017
11. Wells Fargo Advisors: Letter from Robert J. McCarthy, Director of Regulatory Policy, dated March 24, 2017
Bank Dealers, Dealers
1. Bond Dealers of America: Letter from Mike Nicholas, Chief Executive Officer, dated February 17, 2017
2. Michael Paganini: E-mail dated January 6, 2017
3. Securities Industry and Financial Markets Association: Letter from Leslie M. Norwood, Managing Director and Associate General Counsel, dated February 17, 2017
