NAIPFA

Comments Related to Regulatory Matters

• 04/13/12 - Comments on Notice 2012-13 proposed amendments to MSRB Rule G-11
• 04/09/12 - 04/09/12- MSRB Notice 2012-14 – “Not Reoffered “ Designation
• 04/4/12 - MSRB Notice 2012-09 – Fiscal Year 2013 Priorities
• 01/30/12 - Comment on SEC G-17 Order Instituting Proceedings to Determine Whether to Disapprove Proposed Rule Change
• 11/30/11 - NAIPFA response to Amended draft Rule G-17, SR-MSRB-2011-09
• 11/16/11 - Response to SEC re: Bond Dealers of America letter
• 11/09/11 - NAIPFA response to Municipal Advisory Services letter dated November 9, 2011
• 10/04/11 - 9/30/11 Response to SEC/ Rule G-17/ Underwriter Fair Dealing
• 09/15/11 - 9/14/11 Response to MSRB Notice No. 2011-41/ Rule G-21/ Advertising
• 09/15/11 - 9/14/11 Response to MSRB Notice No. 2011-42/ Rule G-42 / Activities of Municipal Advisors
• 09/13/11 - Response to MSRB Notice No. 2011 -34 regarding draft Form A-11 Survey
• 09/06/11 - Letter to SEC regarding MSRB Rule A-11 on Municipal Advisor Assessments
• 08/29/11 - RE : MSRB Notice 2011-34 - Comment on proposed interim municipal advisor assessments under Rule A-11
• 06/24/11 - Comment to SEC on Amendment No.1 to Rule G-23 (adopted 5/27/11)
• 06/24/11 - Re: MSRB Notice 2011-28 – Comments on Proposed Rule G-44 and Associated Amendments to rules G-8 and G-9
• 04/11/11 - Re: MSRB Notice No. 2011-14; No. 2011-13 - Comments on Proposed Rule G-36/Fiduciary Duty
• 04/11/11 - RE: MSRB Notice No. 2011-12 - Comments on Proposed Rule G-17/Fair Dealing
• 04/01/11 - RE: MSRB Notice No. 2011-16 - Comments of Proposed Rule G-20/Gifts and Gratuities
• 02/24/11 - RE: MSRB Notice 2011-04 - Request for Comments on Pay to Play Rule (Rule G-42) for Municipal Advisors
• 02/22/11 - Comments to SEC on Municipal Advisor Registration
• 12/09/10 - Comments to SEC On 1) A-012 and A-14, 2) G-15 and G-17 and 3) D-13, D-14, G-40, and Form G-40
• 09/30/10 - Comments to MSRB on G-23
• 09/22/10 - Comments to SEC on A-3
• 01/12/10 - Comment to SEC on Amendments to G-37 and G-8
• 11/13/09 - Letter to Dodd & Shelby
• 11/02/09 - NAIPFA Letter to Congress