Comments on MSRB Rulemaking

Notice of Filing of Amendment No. 1 and Order Granting Accelerated Approval of a Proposed Rule Change, as Modified by Amendment No. 1, to Amend Rule G-23, on Activities of Financial Advisors
Notice of Filing of Amendments to Rule G-23, on Activities of Financial Advisors

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Date Received
Date Letter Type Release Number Commenter Name
Public Comment 34-64564 Margaret C. Henry, Deputy General Counsel, Municipal Securities Rulemaking Board, Alexandria, Virginia
Public Comment 34-64564 Colette J. Irwin-Knott, CIPFA, National Association of Independent Public Finance Advisors (NAIPFA), Montgomery, Illinois
Public Comment 34-64564 F. John White, Chief Executive Officer, Public Financial Management, Inc.
Public Comment 34-64564 Larry Kidwell, CIPFA, President, Kidwell & Company Inc., Brentwood, Tennessee
Public Comment 34-64564 Leslie Norwood, Managing Director and Associate General Counsel, Securities Industry and Financial Markets Association, New York, New York
Public Comment 34-64564 Nathan R. Howard, Esq., Municipal Advisor, WM Financial Strategies
Public Comment 34-64564 Robert W. Doty, AGFS, Sacramento, California
Public Comment 34-64564 Susan Gaffney, Director, Federal Liaison Center, Government Finance Officers Association
Public Comment 34-64564 W. David Hemingway, Executive Vice President, Zions First National Bank
Public Comment 34-64564 Joy A. Howard, Principal, WM Financial Strategies, St. Louis, Missouri
Public Comment 34-64564 Robert Coulter, Chief Administrative Officer, First Southwest, Dallas, Texas
Meeting with SEC Officials 34-62853, 34-64148, 34-63576, 34-64564 Memorandum from the Division of Trading and Markets regarding a June 8, 2011, meeting with representatives of SIFMA
Public Comment 34-64564 Ed Carr, Administrator, MetroWest Regional Transit Authority
Meeting with SEC Officials 34-63576, 34-63946 Memorandum from the Office of Commissioner Paredes regarding a May 18, 2011, meeting with representatives of the National Association of Independent Public Finance Advisors (NAIPFA)
Meeting with SEC Officials 34-63946 Memorandum from the Office of Commissioner Aguilar regarding a May 18, 2011, meeting with representatives of the National Association of Independent Public Finance Advisors (NAIPFA)
Public Comment 34-63946 Thomas M. DeMars, Managing Principal, Fieldman, Rolapp & Associates, Irvine, California
Public Comment 34-63946 Robert J. Stracks, Counsel, BMO Capital Markets GKST Inc., Chicago, Illinois
Public Comment 34-63946 Susan Gaffney, Government Finance Officers Association, Washington, District of Columbia
Public Comment 34-63946 Christopher Hamel, Head, Municipal Finance, RBC Capital Markets, LLC
Public Comment 34-63946 David A. Wagner, Sr. V.P. and Financial Advisor, Ehlers Associates, Inc. , Brookfield, Wisconsin
Public Comment 34-63946 Larry W. Kidwell, CIPFA, President, Kidwell & Company Inc., Brentwood, Tennessee
Public Comment 34-63946 Leslie M. Norwood, Managing Director and Associate General Counsel, SIFMA, New York, New York
Public Comment 34-63946 Michael Nicholas, CEO, Bond Dealers of America, Washington, District of Columbia
Public Comment 34-63946 Nathan R. Howard, Esq., Municipal Advisor, WM Financial Strategies
Public Comment 34-63946 National Association of Independent Public Finance Advisors (NAIPFA), Montgomery, Illinois
Public Comment 34-63946 Steve Apfelbacher, Ehlers and Associates, Roseville, Minnesota, Minnesota
Public Comment 34-63946 Joy A. Howard, WM Financial Strategies, St. Louis, Missouri
Public Comment 34-63946 Keith Kolb, Managing Director, Director of Baird Public Finance, Robert W. Baird & Co.
Public Comment 34-63946 Carl Giles
Public Comment 34-63946 Hill Feinberg, Chairman and CEO, First Southwest Company, Dallas, Texas

Last Reviewed or Updated: Dec. 18, 2025

File Number
SR-MSRB-2011-03
Release Number
34-64564
34-63946
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