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Comments on MSRB Rulemaking

Notice of Filing of a Proposed Rule Change Consisting of Proposed New Rule G-42, on Duties of Non-Solicitor Municipal Advisors, and Proposed Amendments to Rule G-8, on Books and Records to be Made by Brokers, Dealers, Municipal Securities Dealers, and Municipal Advisors

[Release No. 34-74860; File No. SR-MSRB-2015-03]


Submitted Comments

(Click here for meetings with SEC officials)
Dec. 16, 2015 Michael L. Post, General Counsel, Regulatory Affairs, Municipal Securities Rulemaking Board, Washington, District of Columbia
Dec. 16, 2015 T. Spencer Wright, Santa Fe, New Mexico
Dec. 7, 2015 Terri Heaton, President, National Association of Municipal Advisors, St. Paul, Minnesota
Dec. 1, 2015 Dustin McDonald, Director, Federal Liaison Center, Government Finance Officers Association
Dec. 1, 2015 Leslie M. Norwood, Managing Director and Associate General Counsel, SIFMA, New York, New York
Dec. 1, 2015 David T. Bellaire Esq., Executive Vice President and General Counsel, Financial Services Institute
Dec. 1, 2015 Michael Nicholas, Chief Executive Officer, Bond Dealers of America
Dec. 1, 2015 Tamara K. Salmon, Associate General Counsel, Investment Company Institute
Nov. 9, 2015 Michael L. Post, General Counsel - Regulatory Affairs, Municipal Securities Rulemaking Board, Alexandria, Virginia
Nov. 4, 2015 Michael Nicholas, Chief Executive Officer, Bond Dealers of America
Sep. 14, 2015 Dustin McDonald, Director, Federal Liaison Center, Government Finance Officers Association
Sep. 11, 2015 Joy A. Howard, WM Financial Strategies, St. Louis, Missouri
Sep. 11, 2015 Lindsey K. Bell, Millar Jiles, LLP
Sep. 11, 2015 Terri Heaton, President, National Association of Municipal Advisors, St. Paul, Minnesota
Sep. 11, 2015 John C. Melton, Sr., Executive Vice President, Coastal Securities, Houston, Texas
Sep. 11, 2015 David T. Bellaire Esq., Executive Vice President and General Counsel, Financial Services Institute
Sep. 11, 2015 Leslie M. Norwood, Managing Director and Associate General Counsel, SIFMA
Sep. 11, 2015 Tamara K. Salmon, Associate General Counsel, Investment Company Institute
Sep. 11, 2015 Michael Nicholas, CEO, Bond Dealers of America, Washington, District of Columbia
Sep. 10, 2015 W. David Hemingway, Executive Vice President, Zions First National Bank, Salt Lake City, Utah
Sep. 10, 2015 Jeff White, Principal, Columbia Capital Management, LLC, Overland Park, Kansas
Sep. 9, 2015 Joshua Cooperman, Cooperman Associates, Burlingame, California
Aug. 12, 2015 Michael L. Post, General Counsel, Regulatory Affairs, Municipal Securities Rulemaking Board, Alexandria, Virginia
Aug. 12, 2015 Michael L. Post, General Counsel, Regulatory Affairs, Municipal Securities Rulemaking Board, Alexandria, Virginia
Jun. 15, 2015 Dustin T. McDonald, Director, Federal Liaison Center, Government Finance Officers Association, Washington, District of Columbia
May 29, 2015 Leo Karwejna, Managing Director, Chief Compliance Officer, The PFM Group
May 29, 2015 Joy A. Howard, WM Financial Strategies, St. Louis, Missouri
May 29, 2015 Michael Nicholas, Chief Executive Officer, Bond Dealers of America, Washington, District of Columbia
May 29, 2015 Lindsey K. Bell, Millar Jiles, LLP
May 29, 2015 W. David Hemingway, Executive Vice President, Zions First National Bank
May 29, 2015 Tamara K. Salmon, Associate General Counsel, Investment Company Institute, Washington, District of Columbia
May 29, 2015 Robert J. McCarthy, Director of Regulatory Policy, Wells Fargo Advisors LLC, St. Louis, Missouri
May 29, 2015 David T. Bellaire, Esq., Executive Vice President & General Counsel, Financial Services Institute
May 29, 2015 Guy E. Yandel, EVP & Head of Public Finance, et al., George K. Baum & Company, Kansas City, Missouri
May 29, 2015 Hill A. Feinberg, Chairman and Chief Executive Officer, and Michael Bartolotta, Vice Chairman, First Southwest Company, Dallas, Texas
May 29, 2015 Terri Heaton, President, National Association of Municipal Advisors, Saint Paul, Minnesota
May 29, 2015 Cristeena Naser, Vice President, Center for Securities, Trust & Investments, American Bankers Association, Washington, District of Columbia
May 28, 2015 Leslie M. Norwood, Managing Director and Associate General Counsel, SIFMA, New York, New York
May 22, 2015 Dustin McDonald, Director, Federal Liaison Center, Government Finance Officers Association

Meetings with SEC Officials

(Click here for submitted comments from the public)
Oct. 15, 2015 Memorandum from the Office of Municipal Securities regarding an October 15, 2015, meeting with representatives of SIFMA
Oct. 5, 2015 Memorandum from the Office of Municipal Securities regarding an October 5, 2015, meeting with representatives of the Bond Dealers of America
Jun. 19, 2015 Memorandum from the Office of Municipal Securities regarding a June 17, 2015, meeting with representatives of the Bond Dealers of America
Jun. 5, 2015 Memorandum from the Office of Municipal Securities regarding a June 3, 2015, meeting with representatives of the National Association of Municipal Advisors
Jun. 4, 2015 Memorandum from the Office of Municipal Securities regarding a May 21, 2015, meeting with representatives of the Securities Industry and Financial Markets Association (SIFMA)

 

http://www.sec.gov/comments/sr-msrb-2015-03/msrb201503.shtml

Modified: 12/18/2015