[17489]
May 11, 2004
TO: BROKER/DEALER ADVISORY COMMITTEE No. 17-04
CLOSED-END INVESTMENT COMPANY MEMBERS No. 30-04
INTERNAL AUDIT ADVISORY COMMITTEE No. 6-04
OPERATIONS MEMBERS No. 23-04
SEC RULES MEMBERS No. 66-04
SMALL FUNDS MEMBERS No. 51-04
TECHNOLOGY ADVISORY COMMITTEE No. 12-04
TRANSFER AGENT ADVISORY COMMITTEE No. 45-04
UNIT INVESTMENT TRUST MEMBERS No. 19-04
RE: FURTHER INFORMATION ON NASD BCP RULES
As we previously informed you, the Securities and Exchange Commission recently
announced its approval of the NASD’s proposed rule changes relating to business continuity
planning.1 The NASD has published, in its May 2004 Notice to Members, the effective dates for
the new rules that were not contained in our previous communication. Attached for your
convenience is a copy of the NASD’s Notice to Members 04-37 that includes the specific
effective dates, a detailed description of the requirements and the actual text of the rule changes.
Please contact me at 202/326-5869 or salmon@ici.org if you have any questions.
Peter G. Salmon
Director – Operations & Technology
Attachment (in .pdf format)
Note: Not all recipients receive the attachment. To obtain a copy of the attachment, please visit our members website
(http://members.ici.org) and search for memo 17489, or call the ICI Library at (202) 326-8304 and request the
attachment for memo 17489.
1 See Memorandum to Closed-End Investment Company Members No. 29-04, Compliance Advisory Committee No.
46-04, Internal Audit Advisory Committee No. 5-04, Operations Members No. 21-04, SEC Rules Members No. 64-04,
Small Funds Members No. 48-04, Technology Advisory Committee No. 11-04, and Unit Investment Trust Members
No. 18-04, dated May 3, 2004, and Memorandum to Broker/Dealer Advisory Committee No. 15-04, dated May 6,
2004, and Memorandum to Transfer Agency Advisory Committee No. 42-04, dated May 7, 2004.