Comment Letters to SEC and MSRB
01/28/25 - Comment Letter to MSRB on Rate Card Process
- 10/21/24 - NAMA Comment Letter to Regulators on Financial Data Transparency Act
- 9/17/24 - NAMA Statement on SEC Charging MA Firms for Record keeping Violations
- 2/26/24 - NAMA Comment Letter to MSRB/Small Firms and MSRB Rules RFI
- 1/2/24 - NAMA Comment Letter to SEC on MSRB Fees
- 1/2/24 - NAMA, ASA, BDA, and SIFMA Letter to SEC on MSRB Fees
- 07/21/2023 - NAMA Comment Letter to SEC re: MSRB Rule G-3
- 07/14/2023 - NAMA, ASA, BDA, SIFMA Joint Letter to IRS re: IRA Tax Credits
- 04/26/2023 - NAMA Comment Letter to SEC re: Updated Amendments to MSRB Rule G-40/allowing testimonials
- 03/31/2023 - NAMA Comment Letter to SEC re: Asset Backed Securities Proposal
- 03/07/2023 - NAMA Comment Letter to SEC re: Amendments to MSRB Rule G-40/allowing testimonials
- 01/30/2023 - NAMA Comment Letter to MSRB re: G-3 Amendments
- 10/18/2022 - Industry Group Letter (Including NAMA) on the Financial Data Transparency Act
- 8/29/2022 - NAMA Comment Letter to SEC re: MSRB Fees for MAs and Broker-Dealers
- 8/3/2022 - NAMA Comment Letter to SEC re: MSRB Rule G-34 Amendments
- 7/6/2022 - NAMA Comment Letter to SEC re: MSRB Fees for MAs and Broker-Dealers
- 7/6/2022 - NAMA/BDA/SIFMA Letter to SEC re: Need for Greater MSRB Budget Transparency
- 3/15/2022 - NAMA Comment Letter to MSRB's Proposed Rule on Solicitor MAs
- 3/8/2022 - NAMA Comment Letter to MSRB's on the Request for Information - ESG Practices
- 3/8/2022 - Industry Group Letter to MSRB on the Request for Information - ESG Practices
- 1/19/2022 - Comment Letter to MSRB on Proposed Guidance: Supervisory Procedures and MA Pricing Duties
- 7/15/2020 - Letter to MSRB on Rule A-3
- 4/29/2020 - Letter to MSRB on Proposed Changes to Rule A-3
- 4/16/2020 - Letter to the Federal Reserve on the Municipal Liquidity Facility
- 3/3/2020 - Letter to SEC on Exemptive Order and Investor Protections
- 3/12/2020 - Opinion Piece in Bond Buyer Regarding SEC Exemptive Order
- 12/09/2019 - Letter to SEC Regarding MA Exemptive Relief Proposal from Broker-Dealer Rules Related to Direct Placements
- 8/30/2019 - Letter to SEC Regarding MSRB Rule G-17 Interpretive Notice
- 8/19/2019 - Letter to MSRB Regarding MSRB Rule G-23
- 7/18/2019 - Letter to SEC on Direct Placements (NAMA 2014 letter on same topic)
- 5/28/2019 - Letter to MSRB Regarding MSRB Rule G-34
- 5/3/2019 - Letter to SEC About MSRB Rule G-32/Form G-32
- 1/24/2019 - MSRB ANNOUNCEMENT ON RULE G-40 EFFECTIVE DATE
- 1/23/2019 - Letter to the MSRB Regarding MSRB Rule G-40 Effective Date
- 1/15/2019 - Letter to MSRB Regarding MSRB Rule G-17 Interpretive Guidance
- 10/17/2018 - Letter to MSRB Regarding FAQs for Rule G-40/Content Standards
- 9/18/2018 - Letter to MSRB Regarding MSRB Rules G-11 and G-32/Primary Offering Practices
- 9/17/2018 - Letter to MSRB Regarding FAQs for Rule G-40/Social Media
- 7/27/2018 - Letter to MSRB Regarding FAQs for Rule G-40/Client Lists and Case Studies
- 4/16/2018 - Letter to MSRB Regarding G-42/Recommendation FAQs
- 2/28/2018 - Letter to SEC Regarding MSRB Rule G-40/Advertising
- 2/9/2018 - Letter to MSRB Regarding their Compliance Support Program
- 11/13/2017 - Letter to MSRB Regarding their Concept Proposal on Primary Offering Practices
- 10/10/2017 - Letter to SEC Regarding MSRB's Proposed Amendments to Rule G-34, Obtaining CUSIPs
- 10/02/2017 - Letter to SEC Chairman Clayton Regarding EDGAR Breach and MAs
- 6/30/2017 - Letter to MSRB Regarding Updated Proposed Amendments to Rule G-34, Obtaining CUSIPs
- 5/15/2017 - Letter to SEC Regarding SEC's Proposed Amendments to Rule 15c2-12
- 4/25/2017 - Letter to SEC Regarding MSRB MA Continuing Education Standards
- 3/31/2017 - MSRB Proposed Rule G-34, Obtaining CUSIP Numbers
- 3/24/2017 - MSRB Proposed Rule G-40, Advertising by Municipal Advisors
- 12/12/2016 - MSRB Proposal to SEC on Rule G-10/Customer Complaints
- 11/14/2016 - MSRB Proposal - MA Continuing Education Standards
- 11/14/2016 - MSRB Request for Comments Regarding Long-Term Strategic Priorities
- 5/27/2016 - MSRB Concept Proposal on MAs Disclosing Issuer Bank Loans
- 1/20/2016 - MSRB Rules G-8, G-9 and G-37; Record keeping and Political Contributions
- 12/7/2015 - MSRB Rule G-42, Duties of Municipal Advisors
- 11/19/2015 - MSRB Rule A-3, Length of MSRB Board Terms
- 10/16/2015 - SEC re: MSRB Rule G-20, Gifts, Gratuities and Record keeping Thereof
- 9/18/2015 - MSRB Rule A-12, MA Registration and Fees
- 9/11/2015 - SEC re: MSRB Rule G-42, Duties of Municipal Advisors
- 7/13/2015 - MSRB Rule A-3, Board Composition and Length of Board Terms
- 6/1/2015 - NFMA RBP Bank Loan Disclosure Comments
- 5/28/2015 - MSRB Rule G-42, Duties of Municipal Advisors
- 2/20/2015 - SEC Comment Letter Related to Rule 15c2-12
- 12/15/2014 - SEC Letter Regarding Direct Purchase
- 12/8/2014 - NAMA Comments to G-20
- 3/21/2014 - NAMA Comments to G-18
- 3/10/2014 - NAMA Comments to G-42
- 1/10/2014 - Municipal Advisor FAQs
- 12/17/2013 - Common Misconceptions About the Municipal Advisor Rule
- 11/22/2013 - NAMA Open Letter to Mary Joe White
- 7/23/2013 - Proposed Rule Change Consisting of Amendments to MSRB Rules G-8, G-11 and G-32 to Include Provisions Specifically Tailored for Retail Order Periods.
- 7/15/2013 - Comments to MSRB SR-MSRB-2013-6: Proposed Rule Change Consisting of Amendments to MSRB Rule A-3, on Membership on the Board, to Modify the Standard of Independence for Public Board Members.
- 3/12/2013 - SR-MSRB-2013-0 – Notice of Filing of a Proposed Rule Change Relating to Amendments to MSRB Rules G-37 and G-8 and Form G-37
- 2/8/2013 - NAMA comments on MSRB Notice 2012-61 – Concept Proposal to Require Underwriters to Submit Preliminary Official Statements to the MSRB’s EMMA System
- 2/7/2013 - Public Affairs Committee Report, February 2013
- 11/2/2012 - NAMA Comments to MSRB Notice 2012-50
- 10/23/2012 - Follow-up Letter to SEC re: Meeting with John Cross
- 10/16/2012 - Response letter to DTCC regarding Fee Increases
- 9/17/2012 - NAMA Response to MSRB Notice 2012-43 – Bond Ballot Campaign Committee Contributions
- 9/11/2012 - Press Release – NAMA Opposes H.R. 2827 – The Dold Amendment.
- 8/13/2012 - Comments on Notice MSRB Notice 2012-36 Draft Amendment to Limit Dealer Consents to Changes in Authorizing Document for Municipal Securities
- 7/31/2012 - Comments on MSRB Notice 2012-28 regarding Potential Conflicts of Interest
- 7/30/2012 - Testimony on HR 2827
- 4/13/2012 - Comments on Notice 2012-13 proposed amendments to MSRB Rule G-11
- 4/9/2012 MSRB Notice 2012-14 – “Not Reoffered” Designation
- 3/27/2012 - MSRB Notice 2012-09 – Fiscal Year 2013 Priorities
- 1/30/2012 - Comment on SEC G-17 Order Instituting Proceedings to Determine Whether to Disapprove Proposed Rule Change
- 11/30/2011 - NAMA response to Amended draft Rule G-17, SR-MSRB-2011-09
- 11/16/2011 - Response to SEC re: Bond Dealers of America letter
- 11/9/2011 - NAMA response to Municipal Advisory Services letter dated November 9, 2011
- 10/4/2011 - Response to SEC/ Rule G-17/ Underwriter Fair Dealing
- 9/15/2011 - Response to MSRB Notice No. 2011-41/ Rule G-21/ Advertising
- 9/15/2011 - Response to MSRB Notice No. 2011-42/ Rule G-42 / Activities of Municipal Advisors
- 9/13/2011 - Response to MSRB Notice No. 2011 -34 regarding draft Form A-11 Survey
- 9/6/2011 - Letter to SEC regarding MSRB Rule A-11 on Municipal Advisor Assessments
- 8/29/2011 - RE : MSRB Notice 2011-34 – Comment on proposed interim municipal advisor assessments under Rule A-11
- 6/24/2011 - Comment to SEC on Amendment No.1 to Rule G-23 (adopted 5/27/11)
- 6/24/2011 - Re: MSRB Notice 2011-28 – Comments on Proposed Rule G-44 and Associated Amendments to rules G-8 and G-9
- 4/11/2011 - Re: MSRB Notice No. 2011-14; No. 2011-13 – Comments on Proposed Rule G-36/Fiduciary Duty
- 4/11/2011 - Re: MSRB Notice No. 2011-12 – Comments on Proposed Rule G-17/Fair Dealing
- 4/1/2011 - Re: MSRB Notice No. 2011-16 – Comments of Proposed Rule G-20/Gifts and Gratuities
- 2/24/2011 - Re: MSRB Notice 2011-04 – Request for Comments on Pay to Play Rule (Rule G-42) for Municipal Advisors
- 2/22/2011 - Comments to SEC on Municipal Advisor Registration
- 12/9/2010 - 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
- 9/30/2010 - Comments to MSRB on G-23
- 9/22/2010 - Comments to SEC on A-3
- 1/12/2010 - Comment to SEC on Amendments to G-37 and G-8
- 11/13/2009 - Letter to Dodd & Shelby
- 11/2/2009 - NAMA Letter to Congress
- 3/16/2009 - Resolution approved by the Board of Directors of National Association of Municipal Advisors (NAMA) on March 16, 2009
- 3/18/2008 - Board Resolution on Cooperation with Muni Council and Central Post Office
- 3/18/2008 - Rating Agency Resolution
- 3/10/2008 - Offers and Sales of Securities to “Large Accredited Investors”
- 3/10/2008 - EMMA Proposal