News Category: Comment Letter HomepagePage 2 April 20, 2018 BDA Submits Comment Letter: MSRB Seeks Input on a Compliance Resource to Help Distinguish Advice and Recommendations (Rule G-42) April 9, 2018 BDA SUBMITS COMMENT LETTER: FINRA Requests Comment on the Application of Certain Rules to Government Securities and to Other Debt Securities More Broadly (Regulatory Notice 18-05) March 28, 2018 BDA Submits Written Comments in Support of Reinstating Municipal Advance Refundings February 28, 2018 BDA Submits Comment Letter: MSRB Seeks to Establish Rule for Municipal Advisors and Update Dealer Standards on Advertising February 1, 2018 FINRA Proposes Changes to the Securities Industry Essentials Examination November 17, 2017 MSRB’s Request for Comment on Retrospective Review of Primary Offering Practices September 18, 2017 BDA Comment Letter to the DOL: Supporting an Extended Transition Period August 24, 2017 Regulatory Reform: BDA Submits Letter to U.S. Treasury Upcoming Report on U.S. Capital Markets and Securities Law & Regulation August 8, 2017 BDA FINRA Rule 4210 Letter: Competitive Concerns, Compliance Questions, and a Proposed Amendment for FINRA’s Consideration August 8, 2017 BDA Submitted Comment Letter: DOL Fiduciary Rule « 1 2 3 4 5 6 7 … 14 »
April 20, 2018 BDA Submits Comment Letter: MSRB Seeks Input on a Compliance Resource to Help Distinguish Advice and Recommendations (Rule G-42)
April 9, 2018 BDA SUBMITS COMMENT LETTER: FINRA Requests Comment on the Application of Certain Rules to Government Securities and to Other Debt Securities More Broadly (Regulatory Notice 18-05)
February 28, 2018 BDA Submits Comment Letter: MSRB Seeks to Establish Rule for Municipal Advisors and Update Dealer Standards on Advertising
August 24, 2017 Regulatory Reform: BDA Submits Letter to U.S. Treasury Upcoming Report on U.S. Capital Markets and Securities Law & Regulation
August 8, 2017 BDA FINRA Rule 4210 Letter: Competitive Concerns, Compliance Questions, and a Proposed Amendment for FINRA’s Consideration
