Comments on Proposed Rule: Registration of Municipal Advisors

Comments have been received from individuals and entities using a variety of Letter Types:

Comment
A: 170
B: 7
C: 11
D: 37
E: 5

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Date Received
Date Letter Type Commenter Name
Public Comment Cristeena Naser, Vice President and Senior Counsel, American Bankers Association
Public Comment Leslie M. Norwood, Managing Director and Associate General Counsel, Securities Industry and Financial Markets Association (SIFMA)
Public Comment Karen L. Barr and Laura L. Grossman, Investment Adviser Association; Timothy W. Cameron, Esq. and Matthew J. Nevins, Esq., Securities Industry and Financial Markets Association (SIFMA)
Public Comment Mike Nicholas, Chief Executive Officer, Bond Dealers of America
Meeting with SEC Officials Memorandum from the Office of Municipal Securities regarding an August 29, 2013, meeting with representatives of Americans for Financial Reform, et al.
Public Comment Richard Li, Public Debt Specialist, City of Milwaukee, Milwaukee, Wisconsin
Meeting with SEC Officials Memorandum from the Office of Commissioner Kara Stein regarding a September 16, 2013, meeting with representatives of SIFMA
Public Comment Steve Stivers and Gwen Moore, Members of Congress
Meeting with SEC Officials Memorandum from the Office of Commissioner Kara Stein regarding a September 12, 2013, meeting with representatives of the American Bankers Association
Meeting with SEC Officials Memorandum from the Office of Municipal Securities regarding a June 18, 2013, meeting with representatives of the National Association of Energy Service Companies (NAESCO)
Meeting with SEC Officials Memorandum from the Office of Municipal Securities regarding a June 6, 2013, meeting with representatives of the National Association of Independent Public Finance Advisors (NAIPFA)
Meeting with SEC Officials Memorandum from the Office of Municipal Securities regarding an April 1, 2013, meeting with representatives of the Investment Adviser Association
Meeting with SEC Officials Memorandum from the Office of Municipal Securities regarding a March 22, 2013, meeting with representatives of SIFMA
Meeting with SEC Officials Memorandum from the Office of Municipal Securities regarding a March 4, 2013, telephone call with representatives of Americans for Financial Reform
Meeting with SEC Officials Memorandum from the Office of Municipal Securities regarding a March 5, 2013, meeting with representatives of SIFMA
Meeting with SEC Officials Memorandum from the Office of Municipal Securities regarding a January 28, 2013, meeting with representatives of the Houston Firefighters Relief and Retirement Fund
Public Comment Michael Nicholas, Chief Executive Officer, Bond Dealers of America
Meeting with SEC Officials Memorandum from the Office of Municipal Securities regarding a December 3, 2012, meeting with representatives of Wells Fargo Advisors
Meeting with SEC Officials Memorandum from the Office of Municipal Securities regarding a November 15, 2012, meeting with representatives of the Securities Industry and Financial Markets Association (SIFMA)
Meeting with SEC Officials Memorandum from the Division of Trading and Markets regarding a December 5, 2012, meeting with representatives of the American Bankers Association
Public Comment Clifford E. Kirsch, Michael B. Koffler, and Susan S. Krawczyk, Sutherland Asbill & Brennan, on behalf of the Committee of Annuity Insurers
Meeting with SEC Officials Memorandum from the Division of Trading and Markets regarding an October 19, 2012, meeting with representatives of Americans for Financial Reform (AFR), American Federation of State, County and Municipal Employees (AFSCME), Consumer Federation of America (CFA), the American Federation of Labor and Congress of Industrial Organizations (AFL-CIO), Public Citizen, and Service Employees International Union (SEIU)
Meeting with SEC Officials Memorandum from the Office of the Chairman regarding a September 13, 2012, meeting with representatives of the National Association of Independent Public Finance Advisors (NAIPFA) and the Government Finance Officers Association (GFOA)
Meeting with SEC Officials Memorandum from the Division of Trading and Markets regarding an October 10, 2012, meeting with representatives of the Committee of Annuity Insurers and the law firm Sutherland
Public Comment Elizabeth (Beth) J. Stroble, Ph.D., President, Webster University, St. Louis, Missouri
Public Comment Cristeena Naser, Senior Counsel, Center for Securities, Trust & Investment, American Bankers Association
Public Comment Beverly Daniel Tatum, Ph.D., President, Spelman College
Public Comment Frances S. Taylor, Chair, Board of Directors, and Michael M. Knetter, President and CEO, University of Wisconsin Foundation
Public Comment G. Lee Griffin, President and CEO, LSU Foundation
Public Comment Eric Persons, Associate Vice President, Syracuse University

Last Reviewed or Updated: Dec. 18, 2025

File Number
S7-45-10
Release Number
34-63576
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