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Comments on MSRB Rulemaking
Notice of Filing of Proposed Rule Change, as Modified by Amendment No. 2, Consisting of Proposed Interpretive Notice Concerning the Application of MSRB Rule G-17, on Conduct of Municipal Securities and Municipal Advisory Activities, to Underwriters of Municipal Securities
[Release No. 34-65749; File No. SR-MSRB-2011-09]
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| Feb. 13, 2012 | John H. Bonow, Chief Executive Officer, Public Financial Management Group |
| Feb. 13, 2012 | Margaret C. Henry, General Counsel, Market Regulation, Municipal Securities Rulemaking Board, Alexandria, Virginia |
| Jan. 30, 2012 | Susan Gaffney, Director, Federal Liaison Center, Government Finance Officers Association, Washington, District of Columbia |
| Jan. 30, 2012 | Colette J. Irwin-Knott, President, National Association of Independent Public Finance Advisors, Montgomery, Illinois |
| Jan. 30, 2012 | Michael Nicholas, Chief Executive Officer, Bond Dealers of America |
| Jan. 30, 2012 | Margaret C. Henry, General Counsel, Market Regulation, Municipal Securities Rulemaking Board, Alexandria, Virginia |
| Jan. 27, 2012 | Leslie M. Norwood, Managing Director and Associate General Counsel, SIFMA, New York, New York |
| Dec. 7, 2011 | Peter C. Orr, CFA, President, Intuitive Analytics LLC |
| Dec. 7, 2011 | Margaret C. Henry, General Counsel, Market Regulation, Municipal Securities Rulemaking Board |
| Dec. 1, 2011 | Robert W. Doty, AGFS, Sacramento, California |
| Dec. 1, 2011 | Susan Gaffney, Director, Federal Liaison Center, Government Finance Officers Association, Washington, District of Columbia |
| Dec. 1, 2011 | Michael Nicholas, CEO, Bond Dealers of America |
| Nov. 30, 2011 | Joy A. Howard, WM Financial Strategies, St. Louis, Missouri |
| Nov. 30, 2011 | Leslie M. Norwood, Managing Director and Associate General Counsel, SIFMA, New York, New York |
| Nov. 30, 2011 | F. John White, Chief Executive Officer, Public Financial Management |
| Nov. 30, 2011 | Colette J. Irwin-Knott, President, National Association of Independent Public Finance Advisors (NAIPFA), Montgomery, Illinois
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Meetings with SEC Officials
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| Feb. 2, 2012 | Memorandum from the Division of Trading and Markets regarding a February 1, 2012, telephonic meeting with representatives of the National Association of Independent Public Finance Advisors (NAIPFA) |
| Dec. 23, 2011 | Memorandum from the Office of Commissioner Luis A. Aguilar regarding a December 7, 2011, meeting with representatives of MSRB |
| Nov. 23, 2011 | Memorandum from the Division of Trading and Markets regarding a November 16, 2011, meeting with representatives of the National Association of Independent Public Finance Advisors (NAIPFA) |
Notice of Filing of Proposed Rule Change Consisting of Proposed Interpretive Notice Concerning the Application of MSRB Rule G-17, on Conduct of Municipal Securities and Municipal Advisory Activities, to Underwriters of Municipal Securities
[Release No. 34-65263; File No. SR-MSRB-2011-09]
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| Nov. 10, 2011 | Margaret C. Henry, General Counsel, Market Regulation, Municipal Securities Rulemaking Board, Alexandria, Virginia |
| Oct. 3, 2011 | Susan Gaffney, Director, Federal Liaison Center, Government Finance Officers Association, Washington, District of Columbia |
| Sep. 30, 2011 | Leslie M. Norwood, Managing Director and Associate General Counsel, SIFMA, New York, New York |
| Sep. 30, 2011 | Colette J. Irwin-Knott, President, National Association of Independent Public Finance Advisors, Montgomery, Illinois |
| Sep. 30, 2011 | William Daly, Senior VP, Government Relations, Bond Dealers of America |
| Sep. 30, 2011 | Joy A. Howard, Principal, WM Financial Strategies, St. Louis, Missouri |
http://www.sec.gov/comments/sr-msrb-2011-09/msrb201109.shtml
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