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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]


Submitted Comments

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
 

Meetings with SEC Officials

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]


Submitted Comments

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

Modified: 10/16/2014