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
Meeting with SEC Officials Memorandum from the Office of Commissioner Elad L. Roisman regarding December 12, 2019, meeting with representatives of the SIFMA Municipal Securities Committee
Meeting with SEC Officials Memorandum from the Office of Municipal Securities regarding a December 12, 2019, meeting with representatives of SIFMA
Public Comment Daniel Forbes, President, Speer Financial, Inc.
Public Comment Edward J. Sisk, Chair, Municipal Securities Rulemaking Board
Public Comment Emily Swenson Brock, Director, Federal Liaison Center, Government Finance Officers Association
Public Comment Jonathan Bronson, Director of Public Finance, Zions Bancorporation, N.A.
Public Comment Kim M. Whelan and Noreen P. White, Co-Presidents, Acacia Financial Group, Inc.
Public Comment Leo Karwejna, Chief Compliance Officer, PFM Financial Advisors LLC
Public Comment Leslie M. Norwood, Managing Director and Associate General Counsel, SIFMA
Public Comment Marc Dispense, President, Fixed Income Capital Markets, D.A. Davidson & Co.
Public Comment Michael Nicholas, Chief Executive Officer, Bond Dealers of America
Public Comment Richard J. Moore, President, National Association of Bond Lawyers
Public Comment Richard Li
Public Comment Robert W. Doty
Public Comment Scott Colyer, Chief Executive Officer, Advisors Asset Management, et al.
Public Comment Shelley J. Aronson, President, First River Advisory L.L.C.
Public Comment Susan Gaffney, Executive Director, National Association of Municipal Advisors
Public Comment Thomas F. Huestis, Senior Managing Director, Public Resources Advisory Group, Inc.
Public Comment Vicki Hellenbrand, President, Baker Tilly Municipal Advisors, LLC
Public Comment Dee Wisor, Butler Snow LLP
Public Comment Christopher A. Iacovella, Chief Executive Officer, American Securities Association
Public Comment Jonathan Mark Roberts, Roberts Consulting, LLC, Principal
Public Comment David B. Thompson, CEO, Phoenix Advisors, LLC
Public Comment Frank Fairman, Managing Director, Head of Public Finance, and Rebecca Lawrence, Managing Director, Associate General Counsel; Piper Jaffray & Co.
Public Comment Jeff White, Managing Member, Columbia Capital Management, LLC
Public Comment Lindsay M. Wall, Managing Director, Longhouse Capital Advisors
Public Comment Dennis Hunt, Executive Vice President, Head of Public Finance, and Kevin Burns, Senior Vice President, Associate General Counsel; Stephens Inc.
Public Comment Laura D. Lewis, Principal/Owner, Lewis Young Robertson & Burningham, Inc.
Public Comment Nathaniel Singer, Senior Managing Director, Swap Financial Group
Public Comment Dennis Dix, Jr., Principal, DIXWORKS LLC

Last Reviewed or Updated: Dec. 18, 2025

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