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

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Date Received
Date Letter Type Commenter Name
Public Comment Leo Karwejna, Managing Director, Chief Compliance Officer, PFM Financial Advisors LLC and Cheryl Maddox, Managing Director, General Counsel, PFM Financial Advisors LLC
Public Comment French Hill, Member of Congress and Vincente Gonzalez, Member of Congress
Meeting with SEC Officials Memorandum from the Office of the Chairman regarding a March 20, 2020 meeting with representatives of NAMA
Meeting with SEC Officials Memorandum from the Office of the Chairman regarding an April 2, 2020, meeting with representatives of PFM Financial Advisors LLC and Municipal Market Participants
Public Comment Rep. David Kustoff, U.S. House of Representatives
Public Comment Christopher A. Iacovella, Chief Executive Officer, American Securities Association
Meeting with SEC Officials Memorandum from the Office of the Chairman regarding a February 3, 2020, meeting with representatives of FINRA
Meeting with SEC Officials Memorandum from the Office of the Chairman regarding a Feburary 3, 2020 meeting with representatives of Public Financial Management, Inc.
Meeting with SEC Officials Memorandum from the Office of the Chairman regarding a January 30, 2020 meeting with representatives of the American Securities Association
Meeting with SEC Officials Memorandum from the Office of Municipal Securities regarding a February 3, 2020 meeting with representatives of PFM
Meeting with SEC Officials Memorandum from the Office of Commissioner Allison Herren Lee regarding a December 12, 2019 meeting with representatives of SIFMA Municipal Securities Committee
Meeting with SEC Officials Memorandum from the Office of Commissioner Allison Herren Lee regarding a January 28, 2020 meeting with representatives of Government Finance Officers Association
Meeting with SEC Officials Memorandum from the Office of Commissioner Allison Herren Lee regarding a January 30, 2020 meeting with representatives of PFM
Meeting with SEC Officials Memorandum from the Office of Commissioner Allison Herren Lee regarding a January 9, 2020 meeting with representatives of Bond Dealers of America
Meeting with SEC Officials Memorandum from the Office of Commissioner Elad L. Roisman regarding a February 3, 2020 meeting with representatives of PFM
Public Comment Rep. French Hill, U.S. House of Representatives
Public Comment Leslie M. Norwood, Managing Director and Associate General Counsel, SIFMA
Public Comment Brett Bolton, Vice President, The Bond Dealers of America
Meeting with SEC Officials Memorandum from the Office of the Chairman regarding a January 9, 2020 meeting with representatives of Bond Dealers of America
Meeting with SEC Officials Memorandum from the Office of the Chairman regarding a January 9, 2020 meeting with representatives of the Securities Industry and Financial Markets Association
Meeting with SEC Officials Memorandum from the Office of Commissioner Elad L. Roisman regarding a January 16, 2020, meeting with representatives of the American Securities Association
Meeting with SEC Officials Memorandum from the Office of Commissioner Elad L. Roisman regarding a January 15, 2020 meeting with representatives of the Bond Dealers of America
Meeting with SEC Officials 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
Meeting with SEC Officials Memorandum from the Office of Commissioner Hester M. Peirce regarding a January 6, 2020, meeting with representatives of the the Bond Dealers of America
Meeting with SEC Officials 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)
Meeting with SEC Officials Memorandum from the Office of Commissioner Elad L. Roisman regarding a January 9, 2020, meeting with representatives of the the Bond Dealers of America
Meeting with SEC Officials Memorandum from the Office of Commissioner Elad L. Roisman regarding a January 9, 2020, meeting with representatives of the National Association of Municipal Advisors
Meeting with SEC Officials Memorandum from the Office of Municipal Securities regarding a January 8, 2020, meeting with representatives of the National Association of Municipal Advisors (NAMA)
Public Comment Chris Melton
Public Comment Drew Masterson, Masterson Advisors LLC

Last Reviewed or Updated: Dec. 18, 2025

File Number
S7-16-19
Release Number
34-87204
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