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Comments on MSRB Rulemaking

Notice of Filing of Amendment No. 1 and Order Granting Accelerated Approval of a Proposed Rule Change, as Modified by Amendment No. 1, to Amend Rule G-23, on Activities of Financial Advisors

[Release No. 34-64564; File No. SR-MSRB-2011-03]


Jul. 21, 2011 Margaret C. Henry, Deputy General Counsel, Municipal Securities Rulemaking Board, Alexandria, Virginia
Jun. 24, 2011 Larry Kidwell, CIPFA, President, Kidwell & Company Inc., Brentwood, Tennessee
Jun. 24, 2011 Leslie Norwood, Managing Director and Associate General Counsel, Securities Industry and Financial Markets Association, New York, New York
Jun. 24, 2011 Robert W. Doty, AGFS, Sacramento, California
Jun. 24, 2011 Colette J. Irwin-Knott, CIPFA, National Association of Independent Public Finance Advisors (NAIPFA), Montgomery, Illinois
Jun. 24, 2011 F. John White, Chief Executive Officer, Public Financial Management, Inc.
Jun. 24, 2011 Susan Gaffney, Director, Federal Liaison Center, Government Finance Officers Association
Jun. 24, 2011 W. David Hemingway, Executive Vice President, Zions First National Bank
Jun. 24, 2011 Nathan R. Howard, Esq., Municipal Advisor, WM Financial Strategies
Jun. 23, 2011 Joy A. Howard, Principal, WM Financial Strategies, St. Louis, Missouri
Jun. 17, 2011 Robert Coulter, Chief Administrative Officer, First Southwest, Dallas, Texas
Jun. 14, 2011 Memorandum from the Division of Trading and Markets regarding a June 8, 2011, meeting with representatives of SIFMA
Jun. 13, 2011 Ed Carr, Administrator, MetroWest Regional Transit Authority

Notice of Filing of Amendments to Rule G-23, on Activities of Financial Advisors

[Release No. 34-63946; File No. SR-MSRB-2011-03]


May 27, 2011 Memorandum from the Office of Commissioner Paredes regarding a May 18, 2011, meeting with representatives of the National Association of Independent Public Finance Advisors (NAIPFA)
May 18, 2011 Memorandum from the Office of Commissioner Aguilar regarding a May 18, 2011, meeting with representatives of the National Association of Independent Public Finance Advisors (NAIPFA)
Mar. 23, 2011 Thomas M. DeMars, Managing Principal, Fieldman, Rolapp & Associates, Irvine, California
Mar. 22, 2011 Susan Gaffney, Government Finance Officers Association, Washington, District of Columbia
Mar. 22, 2011 Robert J. Stracks, Counsel, BMO Capital Markets GKST Inc., Chicago, Illinois
Mar. 21, 2011 Larry W. Kidwell, CIPFA, President, Kidwell & Company Inc., Brentwood, Tennessee
Mar. 21, 2011 Leslie M. Norwood, Managing Director and Associate General Counsel, SIFMA, New York, New York
Mar. 21, 2011 Steve Apfelbacher, Ehlers and Associates, Roseville, Minnesota, Minnesota
Mar. 21, 2011 National Association of Independent Public Finance Advisors (NAIPFA), Montgomery, Illinois
Mar. 21, 2011 David A. Wagner, Sr. V.P. and Financial Advisor, Ehlers Associates, Inc. , Brookfield, Wisconsin
Mar. 21, 2011 Michael Nicholas, CEO, Bond Dealers of America, Washington, District of Columbia
Mar. 21, 2011 Nathan R. Howard, Esq., Municipal Advisor, WM Financial Strategies
Mar. 21, 2011 Christopher Hamel, Head, Municipal Finance, RBC Capital Markets, LLC
Mar. 18, 2011 Joy A. Howard, WM Financial Strategies, St. Louis, Missouri
Mar. 18, 2011 Keith Kolb, Managing Director, Director of Baird Public Finance, Robert W. Baird & Co.
Mar. 16, 2011 Carl Giles
Mar. 16, 2011 Hill Feinberg, Chairman and CEO, First Southwest Company, Dallas, Texas
Mar. 10, 2011 Robert W. Doty, AGFS, Sacramento, California
Mar. 2, 2011 Patricia E. Bowen, Vice President, Municipal Finance Department, Eastern Bank
Feb. 25, 2011 F. John White, Chief Executive Officer, Public Financial Management, Inc.

 

http://www.sec.gov/comments/sr-msrb-2011-03/msrb201103.shtml

Modified: 10/16/2014