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Comments on State of the Municipal Securities Market Field Hearings
[Release No.34-62853; File No. 4-610]
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(Click here for meetings with SEC officials)
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| Oct. 1, 2012 | Tom Dolan |
| Jun. 13, 2012 | Arthur Sinkler |
| May 7, 2012 | Mark J. Gannon, Owner Bondtools.com, Sacramento, California |
| Mar. 29, 2012 | Jack Leonard, Professional Researcher, Rowley, Massachusetts |
| Mar. 18, 2012 | Amanda More, Orlando, Florida |
| Feb. 9, 2012 | Kristin H.R. Franceschi, President, and Kenneth R. Artin, Task Force Reporter, National Association of Bond Lawyers |
| Feb. 1, 2012 | Public Financial Management, Inc. |
| Nov. 22, 2011 | Michael M. Becker, Former BD now Public Customer, Boca Raton, Florida |
| Nov. 16, 2011 | Michael Nicholas, Chief Executive Officer, Bond Dealers of America |
| Nov. 10, 2011 | Susan Gaffney, Director, Federal Liaison Center, Government Finance Officers Association, Washington, District of Columbia |
| Nov. 8, 2011 | F. John White, Chief Executive Officer, The PFM Group |
| Oct. 6, 2011 | John Bonow, Managing Director, Public Financial Management, Inc. |
| Sep. 2, 2011 | John M. McNally, President, National Association of Bond Lawyers |
| Aug. 8, 2011 | Michael G. Bartolotta, Chair, Municipal Securities Rulemaking Board |
| Jul. 28, 2011 | John Lemmon |
| Jul. 19, 2011 | Susan Munson, Fixed Income Live |
| Jul. 18, 2011 | John Lemmon |
| Jul. 13, 2011 | Christine P. Nguyen, Ph.D |
| Jun. 14, 2011 | Thomas Doe, CEO, Municipal Market Advisors |
| Jun. 7, 2011 | Robert H. Attmore, Chairman, Governmental Accounting Standards Board |
| Apr. 20, 2011 | John Yinger, Trustee Professor of Public Administration and Economics, Syracuse University |
| Apr. 5, 2011 | Thomas F. Dolan, Jr., Marietta, Georgia |
| Mar. 30, 2011 | Mark Harris |
| Mar. 29, 2011 | Nathan Saks |
| Mar. 28, 2011 | John B. Payne, Managing Director, Bradley Payne LLC |
| Mar. 23, 2011 | Maribeth Wright, Ph.D, President, National Association of Health and Educational Facilities Finance Authorities |
| Mar. 22, 2011 | Gregory M. Baird |
| Mar. 22, 2011 | Hildy Richelson, Scarsdale Investment Group, Ltd. |
| Mar. 21, 2011 | Debbie Arnold |
| Mar. 21, 2011 | John Sullivan, CFA |
| Mar. 21, 2011 | Laton D. Allison |
| Mar. 21, 2011 | Kerry Erendson |
| Mar. 21, 2011 | Todd B. McGinley, CFA, VP, Senior Portfolio Manager, SBB&T Investment Management |
| Mar. 21, 2011 | Gordon Reis |
| Mar. 21, 2011 | Allen Davis |
| Mar. 3, 2011 | Mark W. Gee, Taxpayer and Town Councilor, East Greenwich, Rhode Island |
| Jan. 27, 2011 | John Repsholdt, Municipal Financial Advisor, Lisle, Illinois |
| Jan. 3, 2011 | Randall J. Soderberg, Monroe Township, New Jersey |
| Dec. 29, 2010 | Gunther Karger |
| Dec. 24, 2010 | David Ebner, J.D., Washington |
| Dec. 13, 2010 | John Yinger, Professor of Economics and Public Admin., Syracuse Univ., Syracuse, New York |
| Dec. 7, 2010 | Geri M Letti, New York, New York |
| Dec. 6, 2010 | Vince Sampson, President, Education Finance Council |
| Nov. 25, 2010 | William Laudani, Coral Gables, Florida |
| Nov. 12, 2010 | Stephen W. Kessler, Deputy Executive Officer, Operations, CalPERS |
| Oct. 6, 2010 | Mary Colby, Industry Practices and Procedures Chair, National Federation of Municipal Analysts |
| Oct. 5, 2010 | Daniel Kramer, Paramus, New Jersey |
| Sep. 17, 2010 | Richard A. Freeman, Esq. |
| Sep. 16, 2010 | Robert E. Donovan |
| Sep. 8, 2010 | Carlos I. Buentello, Vice President, Compliance Department, Estrada Hinojosa & Company, Inc. |
| Sep. 7, 2010 | Lisa Pepi |
| Sep. 7, 2010 | Jon Barasch, Senior Manager, Interactive Data Corp, New York, New York |
Meetings with SEC Officials
(Click here for submitted comments from the public)
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| Jun. 26, 2012 | Memorandum from the Division of Trading and Markets regarding a February 28, 2012, meeting with representatives of Municipal Market Advisors (MMA) |
| Jun. 26, 2012 | Memorandum from the Division of Trading and Markets regarding a February 27, 2012, meeting with representatives of Public Financial Management (PFM) |
| Jun. 26, 2012 | Memorandum from the Division of Trading and Markets regarding a March 1, 2012, meeting with representatives of Interactive Data Corp. |
| Mar. 14, 2012 | Memorandum from the Division of Trading and Markets regarding a March 14, 2012, conference call with representatives of Bloomberg |
| Nov. 23, 2011 | Memorandum from the Division of Trading and Markets regarding a November 18, 2011, meeting with representatives of Andrew Kalotay Associates, Inc. |
| Nov. 21, 2011 | Memorandum from the Office of Commissioner Elisse B. Walter regarding an October 24, 2011, meeting with representatives of Saber Partners, LLC |
| Nov. 15, 2011 | Memorandum from the Office of Commissioner Elisse B. Walter regarding a July 26, 2011, meeting with representatives of NYSE Euronext |
| Nov. 4, 2011 | Memorandum from the Division of Trading and Markets regarding a November 1, 2011, meeting with representatives of Thomson Reuters |
| Nov. 4, 2011 | Memorandum from the Division of Trading and Markets regarding an October 12, 2011, meeting with representatives of Knight BondPoint |
| Nov. 4, 2011 | Memorandum from the Division of Trading and Markets regarding a September 22, 2011, meeting with representatives of Tradeweb LLC |
| Nov. 4, 2011 | Memorandum from the Division of Trading and Markets regarding a November 2, 2011, meeting with representatives of Public Financial Management, Inc. |
| Oct. 26, 2011 | Memorandum from the Division of Trading and Markets regarding a report entitled "Timing of Municipal Bond Financial Audits Leaves Room for Improvement," from Merritt Research Services, LLC |
| Sep. 14, 2011 | Memorandum from the Division of Trading and Markets regarding a December 15, 2010, meeting with representatives of TheMuniCenter.com |
| Aug. 5, 2011 | Memorandum from the Division of Trading and Markets regarding a July 25, 2011, meeting with representatives of Regional Brokers Inc. |
| Aug. 4, 2011 | Memorandum from the Division of Trading and Markets regarding a July 20, 2011, conference call with representatives of AARP, PIABA, Consumer Federation of America, and Americans for Financial Reform |
| Aug. 4, 2011 | Memorandum from the Division of Trading and Markets regarding a July 19, 2011, meeting with representatives of the Government Finance Officers Association |
| Aug. 4, 2011 | Memorandum from the Division of Trading and Markets regarding a July 18, 2011, meeting with representatives of BondDesk Trading LLC |
| Aug. 4, 2011 | Memorandum from the Division of Trading and Markets regarding a July 13, 2011, meeting with a representative of Bond view. com, LLC |
| Aug. 4, 2011 | Memorandum from the Division of Trading and Markets regarding a July 12, 2011, meeting with representatives of College Savings Plans Network |
| Aug. 4, 2011 | Memorandum from the Division of Trading and Markets regarding a July 12, 2011, conference call with representatives of Standard & Poor’s Security Evaluations |
| Aug. 4, 2011 | Memorandum from the Division of Trading and Markets regarding a June 29, 2011, meeting with representatives of the Bond Dealers of America |
| Jun. 21, 2011 | Memorandum from the Division of Trading and Markets regarding a May 24, 2011, telephone call with a representative of Invesco Fixed Income |
| Jun. 21, 2011 | Memorandum from the Division of Trading and Markets regarding a May 11, 2011, conference call with representatives of the National Federation of Municipal Analysts (NFMA) |
| Jun. 21, 2011 | Memorandum from the Division of Trading and Markets regarding a May 25, 2011, conference call with representatives of the National Association of State Auditors, Comptrollers and Treasurers (NASACT) |
| Jun. 14, 2011 | Memorandum from the Division of Trading and Markets regarding a June 8, 2011, conference call with Joseph Hurley of www.savingforcollege.com |
| Jun. 14, 2011 | Memorandum from the Division of Trading and Markets regarding a May 5, 2011, conference call with a representative of Municipal Market Advisors |
| Jun. 14, 2011 | Memorandum from the Division of Trading and Markets regarding a June 2, 2011, meeting with representatives of the National Association of Health and Educational Facilities Finance Authorities (NAHEFFA) |
| Jun. 14, 2011 | Memorandum from the Division of Trading and Markets regarding a June 8, 2011, meeting with representatives of SIFMA |
| May 26, 2011 | Memorandum from the Division of Trading and Markets regarding an April 27, 2011, meeting with a representative of Merritt Research Services, LLC |
| May 18, 2011 | Memorandum from the Division of Trading and Markets regarding a May 18, 2011, meeting with representatives of MSRB |
| May 17, 2011 | Memorandum from the Division of Trading and Markets regarding a February 25, 2011, meeting with representatives of FINRA |
| May 17, 2011 | Memorandum from the Division of Trading and Markets regarding a May 12, 2011, conference call with Stanley Keller of Edwards Angell Palmer & Dodge LLP |
| May 17, 2011 | Memorandum from the Division of Trading and Markets regarding an April 28, 2011, meeting with representatives of the National Association of Bond Lawyers |
| May 17, 2011 | Memorandum from the Division of Trading and Markets regarding an April 27, 2011, meeting with representatives of Goldman Sachs |
| May 17, 2011 | Memorandum from the Division of Trading and Markets regarding an April 12, 2011, meeting with representatives of Moody's Corporation |
| May 17, 2011 | Memorandum from the Division of Trading and Markets regarding an April 12, 2011, meeting with representative of Standard & Poor's |
| May 17, 2011 | Memorandum from the Division of Trading and Markets regarding a March 30, 2011, conference call with a representative of the Governmental Accounting Standards Board |
| May 17, 2011 | Memorandum from the Division of Trading and Markets regarding a March 30, 2011, conference call with representatives of the Vanguard Group, Inc. |
| Dec. 21, 2010 | Memorandum from the Office of Commissioner Walter regarding a November 23, 2010 meeting with representatives of Wells Fargo Advisors |
| Sep. 27, 2010 | Memorandum from the Office of Commissioner Walter regarding a September 14, 2010, meeting with representatives of AFSCME and AFL-CIO |
http://www.sec.gov/comments/4-610/4-610.shtml
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