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 Robert N. Duelks, Chairman, Gettysburg College, Board of Trustees
Meeting with SEC Officials Memorandum from the Division of Trading and Markets regarding a May 31, 2012, meeting with representatives from the National Association of Independent Public Finance Advisors ("NAIPFA")
Meeting with SEC Officials Memorandum from the Office of Commissioner Aguilar regarding a May 9, 2012, meeting with representatives of the Bond Dealers of America
Public Comment Daniel R. Porterfield, Ph.D., President, and Lawrence I. Bonchek, M.D., Chair, Board of Trustees, Franklin & Marshall College
Public Comment Joel Seligman, President, University of Rochester
Public Comment Richard D. Legon, President, Association of Governing Boards of Universities and Colleges
Meeting with SEC Officials Memorandum from the Office of the Chairman regarding a February 21, 2012, meeting with representatives of the Securities Industry and Financial Markets Association
Meeting with SEC Officials Memorandum from the Division of Trading and Markets regarding a January 31, 2012, meeting with a representative of the Association of Governing Boards of Universities and Colleges
Meeting with SEC Officials Memorandum from the Division of Trading and Markets regarding a January 19, 2012, meeting with representatives of the Securities Industry and Financial Markets Association
Meeting with SEC Officials Memorandum from the Division of Trading and Markets regarding a January 17, 2012, meeting with representatives of the Bond Dealers of America
Public Comment Gary W. Higgins, President, Registered Municipal Accountants Association of New Jersey
Public Comment Robert K. Dalton, Vice Chairman, George K. Baum & Company
Public Comment Robert W. Allison, CPA, Chairman, Governmental Accounting and Auditing Interest Group, New Jersey Society of Certified Public Accountants
Meeting with SEC Officials Memorandum from the Office of Commissioner Walter regarding a December 12, 2011, meeting with a representative of the Association of Governing Boards of Universities and Colleges
Meeting with SEC Officials Memorandum from the Office of the Chairman regarding a December 12, 2011, telephone call with a representative of the American Bankers Association
Meeting with SEC Officials Memorandum from the Division of Trading and Markets regarding a December 1, 2011, meeting with National Association of Energy Service Companies (NAESCO)
Meeting with SEC Officials Memorandum from the Office of the Chairman regarding a December 1, 2011, meeting with National Association of Energy Service Companies (NAESCO)
Public Comment Colette J. Irwin-Knott, CIPFA, President, National Association of Independent Public Finance Advisors
Meeting with SEC Officials Memorandum from the Division of Trading and Markets regarding a November 16, 2011, meeting with representatives of the National Association of Independent Public Finance Advisors (NAIPFA)
Public Comment Alan Polsky, Chair, Municipal Securities Rulemaking Board
Public Comment Katherine Gensler Director, Regulatory Affairs, and Emily J. Duncan, Policy Specialist, Solar Energy Industries Association
Meeting with SEC Officials Memorandum from the Office of the Chairman regarding a November 9, 2011, meeting with representatives of First Southwest
Public Comment F. John White, Chief Executive Officer, The PFM Group
Meeting with SEC Officials Memorandum from the Division of Trading and Markets regarding a November 2, 2011, meeting with representatives of Public Financial Management, Inc.
Meeting with SEC Officials Memorandum from the Division of Trading and Markets regarding an October 19, 2011, meeting with representatives of the Government Finance Officers Association and the Securities Industry and Financial Markets Association
Public Comment Terry E. Singer, National Association of Energy Service Companies
Meeting with SEC Officials Memorandum from the Division of Trading and Markets regarding a September 21, 2011, meeting with representatives of the Securities Industry and Financial Markets Association
Public Comment Clifford E. Kirsch, Michael B. Koffler, and Susan S. Krawczyk, Sutherland Asbill & Brennan, on behalf of the Committee of Annuity Insurers
Public Comment Diane M. Witt, Wasilla, Alaska
Public Comment William J. Caraway, President, Chancellor Financial Associates

Last Reviewed or Updated: Dec. 18, 2025

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