Comments on MSRB Rulemaking
Notice of Filing of a Proposed Rule Change Consisting of Amendments to Rule G-21, on Advertising, Proposed New Rule G-40, on Advertising by Municipal Advisors, and a Technical Amendment to Rule G-42, on Duties of Non-Solicitor Municipal Advisors
[Release No. 34-82616; File No. SR-MSRB-2018-01]
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May 4, 2018 | Mike Nicholas, CEO, Bond Dealers of America; Susan Gaffney, Executive Director, National Association of Municipal Advisors; and Leslie M. Norwood, Managing Director and Associate General Counsel, SIFMA |
Apr. 30, 2018 | Pamela K. Ellis, Associate General Counsel, Municipal Securities Rulemaking Board |
Feb. 28, 2018 | Susan Gaffney, Executive Director, National Association of Municipal Advisors |
Feb. 28, 2018 | Leslie M. Norwood, Managing Director and Associate General Counsel, SIFMA |
Feb. 28, 2018 | Michael Nicholas, Chief Executive Officer, Bond Dealers of America |
Feb. 28, 2018 | Leo Kapwejna, Chief Compliance Officer; Cheryl Maddox, General Counsel; and Catherine Humphrey-Bennett, Municipal Advisory Compliance Officer; Public Financial Management, Inc. and PFM Financial Advisors LLC |
Meetings with SEC Officials
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Apr. 10, 2018 | Memorandum from the Office of Municipal Securities regarding an April 10, 2018, meeting with representatives of the Bond Dealers of America |