Comments on Notice of Proposed Exemptive Order Granting a Conditional Exemption from the Broker Registration Requirements of Section 15(a) of the Securities Exchange Act of 1934 for Certain Activities of Registered Municipal Advisors

[Release No. 34-87204; File No. S7-16-19]

Submitted Comments

(Click here for meetings with SEC officials)
Feb. 19, 2020 Rep. David Kustoff, U.S. House of Representatives
Feb. 13, 2020 Christopher A. Iacovella, Chief Executive Officer, American Securities Association
Feb. 4, 2020 Rep. French Hill, U.S. House of Representatives
Jan. 31, 2020 Leslie M. Norwood, Managing Director and Associate General Counsel, SIFMA
Jan. 28, 2020 Brett Bolton, Vice President, The Bond Dealers of America
Dec. 27, 2019 Chris Melton
Dec. 13, 2019 Drew Masterson, Masterson Advisors LLC
Dec. 9, 2019 Jonathan Bronson, Director of Public Finance, Zions Bancorporation, N.A.
Dec. 9, 2019 Daniel Forbes, President, Speer Financial, Inc.
Dec. 9, 2019 Kim M. Whelan and Noreen P. White, Co-Presidents, Acacia Financial Group, Inc.
Dec. 9, 2019 Edward J. Sisk, Chair, Municipal Securities Rulemaking Board
Dec. 9, 2019 Richard Li
Dec. 9, 2019 Marc Dispense, President, Fixed Income Capital Markets, D.A. Davidson & Co.
Dec. 9, 2019 Thomas F. Huestis, Senior Managing Director, Public Resources Advisory Group, Inc.
Dec. 9, 2019 Vicki Hellenbrand, President, Baker Tilly Municipal Advisors, LLC
Dec. 9, 2019 Robert W. Doty
Dec. 9, 2019 Shelley J. Aronson, President, First River Advisory L.L.C.
Dec. 9, 2019 Susan Gaffney, Executive Director, National Association of Municipal Advisors
Dec. 9, 2019 Michael Nicholas, Chief Executive Officer, Bond Dealers of America
Dec. 9, 2019 Scott Colyer, Chief Executive Officer, Advisors Asset Management, et al.
Dec. 9, 2019 Leo Karwejna, Chief Compliance Officer, PFM Financial Advisors LLC
Dec. 9, 2019 Richard J. Moore, President, National Association of Bond Lawyers
Dec. 9, 2019 Leslie M. Norwood, Managing Director and Associate General Counsel, SIFMA
Dec. 9, 2019 Emily Swenson Brock, Director, Federal Liaison Center, Government Finance Officers Association
Dec. 7, 2019 Dee Wisor, Butler Snow LLP
Dec. 6, 2019 Jonathan Mark Roberts, Roberts Consulting, LLC, Principal
Dec. 6, 2019 Christopher A. Iacovella, Chief Executive Officer, American Securities Association
Dec. 5, 2019 Lindsay M. Wall, Managing Director, Longhouse Capital Advisors
Dec. 5, 2019 Frank Fairman, Managing Director, Head of Public Finance, and Rebecca Lawrence, Managing Director, Associate General Counsel; Piper Jaffray & Co.
Dec. 5, 2019 David B. Thompson, CEO, Phoenix Advisors, LLC
Dec. 5, 2019 Jeff White, Managing Member, Columbia Capital Management, LLC
Dec. 4, 2019 Dennis Hunt, Executive Vice President, Head of Public Finance, and Kevin Burns, Senior Vice President, Associate General Counsel; Stephens Inc.
Dec. 3, 2019 Nathaniel Singer, Senior Managing Director, Swap Financial Group
Dec. 3, 2019 Laura D. Lewis, Principal/Owner, Lewis Young Robertson & Burningham, Inc.
Nov. 27, 2019 Dennis Dix, Jr., Principal, DIXWORKS LLC
Nov. 21, 2019 Eric Alvito, Senior Fixed Income Portfolio Manager, QCI Asset Management, Inc.
Oct. 17, 2019 Tom Lawrence

Meetings with SEC Officials

(Click here for submitted comments from the public)
Feb. 12, 2020 Memorandum from the Office of the Chairman regarding a January 30, 2020 meeting with representatives of the American Securities Association
Feb. 12, 2020 Memorandum from the Office of the Chairman regarding a Feburary 3, 2020 meeting with representatives of Public Financial Management, Inc.
Feb. 5, 2020 Memorandum from the Office of Municipal Securities regarding a February 3, 2020 meeting with representatives of PFM
Feb. 4, 2020 Memorandum from the Office of Commissioner Allison Herren Lee regarding a January 30, 2020 meeting with representatives of PFM
Feb. 4, 2020 Memorandum from the Office of Commissioner Allison Herren Lee regarding a January 28, 2020 meeting with representatives of Government Finance Officers Association
Feb. 4, 2020 Memorandum from the Office of Commissioner Allison Herren Lee regarding a January 9, 2020 meeting with representatives of Bond Dealers of America
Feb. 4, 2020 Memorandum from the Office of Commissioner Allison Herren Lee regarding a December 12, 2019 meeting with representatives of SIFMA Municipal Securities Committee
Feb. 4, 2020 Memorandum from the Office of Commissioner Elad L. Roisman regarding a February 3, 2020 meeting with representatives of PFM
Jan. 22, 2020 Memorandum from the Office of the Chairman regarding a January 9, 2020 meeting with representatives of Bond Dealers of America
Jan. 22, 2020 Memorandum from the Office of the Chairman regarding a January 9, 2020 meeting with representatives of the Securities Industry and Financial Markets Association
Jan. 16, 2020 Memorandum from the Office of Commissioner Elad L. Roisman regarding a January 16, 2020, meeting with representatives of the American Securities Association
Jan. 15, 2020 Memorandum from the Office of Commissioner Elad L. Roisman regarding a January 15, 2020 meeting with representatives of the Bond Dealers of America
Jan. 14, 2020 Memorandum from the Office of Commissioner Hester M. Peirce regarding a January 6, 2020, meeting with representatives of the the Bond Dealers of America
Jan. 14, 2020 Memorandum from the Office of Commissioner Hester M. Peirce regarding a December 17, 2019, meeting with representatives of the Securities Industry and Financial Markets Association
Jan. 14, 2020 Memorandum from the Office of Commissioner Hester M. Peirce regarding a January 8, 2020, meeting with representatives of the National Association of Municipal Advisors (NAMA)
Jan. 10, 2020 Memorandum from the Office of Commissioner Elad L. Roisman regarding a January 9, 2020, meeting with representatives of the the Bond Dealers of America
Jan. 9, 2020 Memorandum from the Office of Commissioner Elad L. Roisman regarding a January 9, 2020, meeting with representatives of the National Association of Municipal Advisors
Jan. 9, 2020 Memorandum from the Office of Municipal Securities regarding a January 8, 2020, meeting with representatives of the National Association of Municipal Advisors (NAMA)
Dec. 12, 2019 Memorandum from the Office of Commissioner Elad L. Roisman regarding December 12, 2019, meeting with representatives of the SIFMA Municipal Securities Committee
Dec. 12, 2019 Memorandum from the Office of Municipal Securities regarding a December 12, 2019, meeting with representatives of SIFMA
Nov. 20, 2019 Memorandum from the Office of Municipal Securities regarding a November 18, 2019, teleconference with representatives of PFM Financial Advisors LLC
Nov. 19, 2019 Memorandum from the Office of Municipal Securities regarding a November 18, 2019, meeting with representatives of the SIFMA Municipal Executive Committee
Nov. 18, 2019 Memorandum from the Office of Municipal Securities regarding a November 15, 2019, meeting with representatives of the Municipal Securities Rulemaking Board (MSRB)
Nov. 8, 2019 Memorandum from the Office of Municipal Securities regarding a November 7, 2019, meeting with representatives of the Municipal Securities Rulemaking Board (MSRB)
Oct. 29, 2019 Memorandum from the Office of Commissioner Allison Herren Lee regarding an October 22, 2019, meeting with representatives of the National Association of Municipal Advisors
Oct. 22, 2019 Memorandum from the Office of the Chairman regarding an October 16, 2019, meeting with representatives of the National Association of Municipal Advisors
Oct. 3, 2019 Memorandum from the Office of Commissioner Allison Herren Lee regarding an October 3, 2019, meeting with representatives of the Bond Dealers of America