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Comments on MSRB Rulemaking
Notice of Filing of a Proposed Rule Change Consisting of Proposed New Rule G-42, on Duties of Non-Solicitor Municipal Advisors, and Proposed Amendments to Rule G-8, on Books and Records to be Made by Brokers, Dealers, Municipal Securities Dealers, and Municipal Advisors
[Release No. 34-74860; File No. SR-MSRB-2015-03]
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(Click here for meetings with SEC officials)
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| Dec. 16, 2015 | Michael L. Post, General Counsel, Regulatory Affairs, Municipal Securities Rulemaking Board, Washington, District of Columbia |
| Dec. 16, 2015 | T. Spencer Wright, Santa Fe, New Mexico |
| Dec. 7, 2015 | Terri Heaton, President, National Association of Municipal Advisors, St. Paul, Minnesota |
| Dec. 1, 2015 | Dustin McDonald, Director, Federal Liaison Center, Government Finance Officers Association |
| Dec. 1, 2015 | Leslie M. Norwood, Managing Director and Associate General Counsel, SIFMA, New York, New York |
| Dec. 1, 2015 | David T. Bellaire Esq., Executive Vice President and General Counsel, Financial Services Institute |
| Dec. 1, 2015 | Michael Nicholas, Chief Executive Officer, Bond Dealers of America |
| Dec. 1, 2015 | Tamara K. Salmon, Associate General Counsel, Investment Company Institute |
| Nov. 9, 2015 | Michael L. Post, General Counsel - Regulatory Affairs, Municipal Securities Rulemaking Board, Alexandria, Virginia |
| Nov. 4, 2015 | Michael Nicholas, Chief Executive Officer, Bond Dealers of America |
| Sep. 14, 2015 | Dustin McDonald, Director, Federal Liaison Center, Government Finance Officers Association |
| Sep. 11, 2015 | Joy A. Howard, WM Financial Strategies, St. Louis, Missouri |
| Sep. 11, 2015 | Lindsey K. Bell, Millar Jiles, LLP |
| Sep. 11, 2015 | Terri Heaton, President, National Association of Municipal Advisors, St. Paul, Minnesota |
| Sep. 11, 2015 | John C. Melton, Sr., Executive Vice President, Coastal Securities, Houston, Texas |
| Sep. 11, 2015 | David T. Bellaire Esq., Executive Vice President and General Counsel, Financial Services Institute |
| Sep. 11, 2015 | Leslie M. Norwood, Managing Director and Associate General Counsel, SIFMA |
| Sep. 11, 2015 | Tamara K. Salmon, Associate General Counsel, Investment Company Institute |
| Sep. 11, 2015 | Michael Nicholas, CEO, Bond Dealers of America, Washington, District of Columbia |
| Sep. 10, 2015 | W. David Hemingway, Executive Vice President, Zions First National Bank, Salt Lake City, Utah |
| Sep. 10, 2015 | Jeff White, Principal, Columbia Capital Management, LLC, Overland Park, Kansas |
| Sep. 9, 2015 | Joshua Cooperman, Cooperman Associates, Burlingame, California |
| Aug. 12, 2015 | Michael L. Post, General Counsel, Regulatory Affairs, Municipal Securities Rulemaking Board, Alexandria, Virginia |
| Aug. 12, 2015 | Michael L. Post, General Counsel, Regulatory Affairs, Municipal Securities Rulemaking Board, Alexandria, Virginia |
| Jun. 15, 2015 | Dustin T. McDonald, Director, Federal Liaison Center, Government Finance Officers Association, Washington, District of Columbia |
| May 29, 2015 | Leo Karwejna, Managing Director, Chief Compliance Officer, The PFM Group |
| May 29, 2015 | Joy A. Howard, WM Financial Strategies, St. Louis, Missouri |
| May 29, 2015 | Michael Nicholas, Chief Executive Officer, Bond Dealers of America, Washington, District of Columbia |
| May 29, 2015 | Lindsey K. Bell, Millar Jiles, LLP |
| May 29, 2015 | W. David Hemingway, Executive Vice President, Zions First National Bank |
| May 29, 2015 | Tamara K. Salmon, Associate General Counsel, Investment Company Institute, Washington, District of Columbia |
| May 29, 2015 | Robert J. McCarthy, Director of Regulatory Policy, Wells Fargo Advisors LLC, St. Louis, Missouri |
| May 29, 2015 | David T. Bellaire, Esq., Executive Vice President & General Counsel, Financial Services Institute |
| May 29, 2015 | Guy E. Yandel, EVP & Head of Public Finance, et al., George K. Baum & Company, Kansas City, Missouri |
| May 29, 2015 | Hill A. Feinberg, Chairman and Chief Executive Officer, and Michael Bartolotta, Vice Chairman, First Southwest Company, Dallas, Texas |
| May 29, 2015 | Terri Heaton, President, National Association of Municipal Advisors, Saint Paul, Minnesota |
| May 29, 2015 | Cristeena Naser, Vice President, Center for Securities, Trust & Investments, American Bankers Association, Washington, District of Columbia |
| May 28, 2015 | Leslie M. Norwood, Managing Director and Associate General Counsel, SIFMA, New York, New York |
| May 22, 2015 | Dustin McDonald, Director, Federal Liaison Center, Government Finance Officers Association |
Meetings with SEC Officials
(Click here for submitted comments from the public)
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| Oct. 15, 2015 | Memorandum from the Office of Municipal Securities regarding an October 15, 2015, meeting with representatives of SIFMA |
| Oct. 5, 2015 | Memorandum from the Office of Municipal Securities regarding an October 5, 2015, meeting with representatives of the Bond Dealers of America |
| Jun. 19, 2015 | Memorandum from the Office of Municipal Securities regarding a June 17, 2015, meeting with representatives of the Bond Dealers of America |
| Jun. 5, 2015 | Memorandum from the Office of Municipal Securities regarding a June 3, 2015, meeting with representatives of the National Association of Municipal Advisors |
| Jun. 4, 2015 | Memorandum from the Office of Municipal Securities regarding a May 21, 2015, meeting with representatives of the Securities Industry and Financial Markets Association (SIFMA) |
http://www.sec.gov/comments/sr-msrb-2015-03/msrb201503.shtml
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