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Comments on State of the Municipal Securities Market Field Hearings

[Release No.34-62853; File No. 4-610]


Submitted Comments

(Click here for meetings with SEC officials)
Oct. 1, 2012 Tom Dolan
Jun. 13, 2012 Arthur Sinkler
May 7, 2012 Mark J. Gannon, Owner Bondtools.com, Sacramento, California
Mar. 29, 2012 Jack Leonard, Professional Researcher, Rowley, Massachusetts
Mar. 18, 2012 Amanda More, Orlando, Florida
Feb. 9, 2012 Kristin H.R. Franceschi, President, and Kenneth R. Artin, Task Force Reporter, National Association of Bond Lawyers
Feb. 1, 2012 Public Financial Management, Inc.
Nov. 22, 2011 Michael M. Becker, Former BD now Public Customer, Boca Raton, Florida
Nov. 16, 2011 Michael Nicholas, Chief Executive Officer, Bond Dealers of America
Nov. 10, 2011 Susan Gaffney, Director, Federal Liaison Center, Government Finance Officers Association, Washington, District of Columbia
Nov. 8, 2011 F. John White, Chief Executive Officer, The PFM Group
Oct. 6, 2011 John Bonow, Managing Director, Public Financial Management, Inc.
Sep. 2, 2011 John M. McNally, President, National Association of Bond Lawyers
Aug. 8, 2011 Michael G. Bartolotta, Chair, Municipal Securities Rulemaking Board
Jul. 28, 2011 John Lemmon
Jul. 19, 2011 Susan Munson, Fixed Income Live
Jul. 18, 2011 John Lemmon
Jul. 13, 2011 Christine P. Nguyen, Ph.D
Jun. 14, 2011 Thomas Doe, CEO, Municipal Market Advisors
Jun. 7, 2011 Robert H. Attmore, Chairman, Governmental Accounting Standards Board
Apr. 20, 2011 John Yinger, Trustee Professor of Public Administration and Economics, Syracuse University
Apr. 5, 2011 Thomas F. Dolan, Jr., Marietta, Georgia
Mar. 30, 2011 Mark Harris
Mar. 29, 2011 Nathan Saks
Mar. 28, 2011 John B. Payne, Managing Director, Bradley Payne LLC
Mar. 23, 2011 Maribeth Wright, Ph.D, President, National Association of Health and Educational Facilities Finance Authorities
Mar. 22, 2011 Gregory M. Baird
Mar. 22, 2011 Hildy Richelson, Scarsdale Investment Group, Ltd.
Mar. 21, 2011 Debbie Arnold
Mar. 21, 2011 John Sullivan, CFA
Mar. 21, 2011 Laton D. Allison
Mar. 21, 2011 Kerry Erendson
Mar. 21, 2011 Todd B. McGinley, CFA, VP, Senior Portfolio Manager, SBB&T Investment Management
Mar. 21, 2011 Gordon Reis
Mar. 21, 2011 Allen Davis
Mar. 3, 2011 Mark W. Gee, Taxpayer and Town Councilor, East Greenwich, Rhode Island
Jan. 27, 2011 John Repsholdt, Municipal Financial Advisor, Lisle, Illinois
Jan. 3, 2011 Randall J. Soderberg, Monroe Township, New Jersey
Dec. 29, 2010 Gunther Karger
Dec. 24, 2010 David Ebner, J.D., Washington
Dec. 13, 2010 John Yinger, Professor of Economics and Public Admin., Syracuse Univ., Syracuse, New York
Dec. 7, 2010 Geri M Letti, New York, New York
Dec. 6, 2010 Vince Sampson, President, Education Finance Council
Nov. 25, 2010 William Laudani, Coral Gables, Florida
Nov. 12, 2010 Stephen W. Kessler, Deputy Executive Officer, Operations, CalPERS
Oct. 6, 2010 Mary Colby, Industry Practices and Procedures Chair, National Federation of Municipal Analysts
Oct. 5, 2010 Daniel Kramer, Paramus, New Jersey
Sep. 17, 2010 Richard A. Freeman, Esq.
Sep. 16, 2010 Robert E. Donovan
Sep. 8, 2010 Carlos I. Buentello, Vice President, Compliance Department, Estrada Hinojosa & Company, Inc.
Sep. 7, 2010 Lisa Pepi
Sep. 7, 2010 Jon Barasch, Senior Manager, Interactive Data Corp, New York, New York

Meetings with SEC Officials

(
Click here for submitted comments from the public)
Jun. 26, 2012 Memorandum from the Division of Trading and Markets regarding a February 28, 2012, meeting with representatives of Municipal Market Advisors (MMA)
Jun. 26, 2012 Memorandum from the Division of Trading and Markets regarding a February 27, 2012, meeting with representatives of Public Financial Management (PFM)
Jun. 26, 2012 Memorandum from the Division of Trading and Markets regarding a March 1, 2012, meeting with representatives of Interactive Data Corp.
Mar. 14, 2012 Memorandum from the Division of Trading and Markets regarding a March 14, 2012, conference call with representatives of Bloomberg
Nov. 23, 2011 Memorandum from the Division of Trading and Markets regarding a November 18, 2011, meeting with representatives of Andrew Kalotay Associates, Inc.
Nov. 21, 2011 Memorandum from the Office of Commissioner Elisse B. Walter regarding an October 24, 2011, meeting with representatives of Saber Partners, LLC
Nov. 15, 2011 Memorandum from the Office of Commissioner Elisse B. Walter regarding a July 26, 2011, meeting with representatives of NYSE Euronext
Nov. 4, 2011 Memorandum from the Division of Trading and Markets regarding a November 1, 2011, meeting with representatives of Thomson Reuters
Nov. 4, 2011 Memorandum from the Division of Trading and Markets regarding an October 12, 2011, meeting with representatives of Knight BondPoint
Nov. 4, 2011 Memorandum from the Division of Trading and Markets regarding a September 22, 2011, meeting with representatives of Tradeweb LLC
Nov. 4, 2011 Memorandum from the Division of Trading and Markets regarding a November 2, 2011, meeting with representatives of Public Financial Management, Inc.
Oct. 26, 2011 Memorandum from the Division of Trading and Markets regarding a report entitled "Timing of Municipal Bond Financial Audits Leaves Room for Improvement," from Merritt Research Services, LLC
Sep. 14, 2011 Memorandum from the Division of Trading and Markets regarding a December 15, 2010, meeting with representatives of TheMuniCenter.com
Aug. 5, 2011 Memorandum from the Division of Trading and Markets regarding a July 25, 2011, meeting with representatives of Regional Brokers Inc.
Aug. 4, 2011 Memorandum from the Division of Trading and Markets regarding a July 20, 2011, conference call with representatives of AARP, PIABA, Consumer Federation of America, and Americans for Financial Reform
Aug. 4, 2011 Memorandum from the Division of Trading and Markets regarding a July 19, 2011, meeting with representatives of the Government Finance Officers Association
Aug. 4, 2011 Memorandum from the Division of Trading and Markets regarding a July 18, 2011, meeting with representatives of BondDesk Trading LLC
Aug. 4, 2011 Memorandum from the Division of Trading and Markets regarding a July 13, 2011, meeting with a representative of Bond view. com, LLC
Aug. 4, 2011 Memorandum from the Division of Trading and Markets regarding a July 12, 2011, meeting with representatives of College Savings Plans Network
Aug. 4, 2011 Memorandum from the Division of Trading and Markets regarding a July 12, 2011, conference call with representatives of Standard & Poor’s Security Evaluations
Aug. 4, 2011 Memorandum from the Division of Trading and Markets regarding a June 29, 2011, meeting with representatives of the Bond Dealers of America
Jun. 21, 2011 Memorandum from the Division of Trading and Markets regarding a May 24, 2011, telephone call with a representative of Invesco Fixed Income
Jun. 21, 2011 Memorandum from the Division of Trading and Markets regarding a May 11, 2011, conference call with representatives of the National Federation of Municipal Analysts (NFMA)
Jun. 21, 2011 Memorandum from the Division of Trading and Markets regarding a May 25, 2011, conference call with representatives of the National Association of State Auditors, Comptrollers and Treasurers (NASACT)
Jun. 14, 2011 Memorandum from the Division of Trading and Markets regarding a June 8, 2011, conference call with Joseph Hurley of www.savingforcollege.com
Jun. 14, 2011 Memorandum from the Division of Trading and Markets regarding a May 5, 2011, conference call with a representative of Municipal Market Advisors
Jun. 14, 2011 Memorandum from the Division of Trading and Markets regarding a June 2, 2011, meeting with representatives of the National Association of Health and Educational Facilities Finance Authorities (NAHEFFA)
Jun. 14, 2011 Memorandum from the Division of Trading and Markets regarding a June 8, 2011, meeting with representatives of SIFMA
May 26, 2011 Memorandum from the Division of Trading and Markets regarding an April 27, 2011, meeting with a representative of Merritt Research Services, LLC
May 18, 2011 Memorandum from the Division of Trading and Markets regarding a May 18, 2011, meeting with representatives of MSRB
May 17, 2011 Memorandum from the Division of Trading and Markets regarding a February 25, 2011, meeting with representatives of FINRA
May 17, 2011 Memorandum from the Division of Trading and Markets regarding a May 12, 2011, conference call with Stanley Keller of Edwards Angell Palmer & Dodge LLP
May 17, 2011 Memorandum from the Division of Trading and Markets regarding an April 28, 2011, meeting with representatives of the National Association of Bond Lawyers
May 17, 2011 Memorandum from the Division of Trading and Markets regarding an April 27, 2011, meeting with representatives of Goldman Sachs
May 17, 2011 Memorandum from the Division of Trading and Markets regarding an April 12, 2011, meeting with representatives of Moody's Corporation
May 17, 2011 Memorandum from the Division of Trading and Markets regarding an April 12, 2011, meeting with representative of Standard & Poor's
May 17, 2011 Memorandum from the Division of Trading and Markets regarding a March 30, 2011, conference call with a representative of the Governmental Accounting Standards Board
May 17, 2011 Memorandum from the Division of Trading and Markets regarding a March 30, 2011, conference call with representatives of the Vanguard Group, Inc.
Dec. 21, 2010 Memorandum from the Office of Commissioner Walter regarding a November 23, 2010 meeting with representatives of Wells Fargo Advisors
Sep. 27, 2010 Memorandum from the Office of Commissioner Walter regarding a September 14, 2010, meeting with representatives of AFSCME and AFL-CIO

 

http://www.sec.gov/comments/4-610/4-610.shtml


Modified: 10/16/2014