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 Eric Alvito, Senior Fixed Income Portfolio Manager, QCI Asset Management, Inc.
Meeting with SEC Officials Memorandum from the Office of Municipal Securities regarding a November 18, 2019, teleconference with representatives of PFM Financial Advisors LLC
Meeting with SEC Officials Memorandum from the Office of Municipal Securities regarding a November 18, 2019, meeting with representatives of the SIFMA Municipal Executive Committee
Meeting with SEC Officials Memorandum from the Office of Municipal Securities regarding a November 15, 2019, meeting with representatives of the Municipal Securities Rulemaking Board (MSRB)
Meeting with SEC Officials Memorandum from the Office of Municipal Securities regarding a November 7, 2019, meeting with representatives of the Municipal Securities Rulemaking Board (MSRB)
Meeting with SEC Officials Memorandum from the Office of Commissioner Allison Herren Lee regarding an October 22, 2019, meeting with representatives of the National Association of Municipal Advisors
Meeting with SEC Officials Memorandum from the Office of the Chairman regarding an October 16, 2019, meeting with representatives of the National Association of Municipal Advisors
Public Comment Tom Lawrence
Meeting with SEC Officials Memorandum from the Office of Commissioner Allison Herren Lee regarding an October 3, 2019, meeting with representatives of the Bond Dealers of America

Last Reviewed or Updated: Dec. 18, 2025

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