Broker/Dealer Advisory Content

    [22290]   March 3, 2008 TO: BOARD OF GOVERNORS No. 2-08 BROKER/DEALER ADVISORY COMMITTEE No. 7-08 OPERATIONS MEMBERS No. 2-08 SEC RULES MEMBERS No. 20-08 SMALL FUNDS MEMBERS No. 12-08 TECHNOLOGY COMMITTEE No. 4-08 TRANSFER AGENT ADVISORY COMMITTEE No. 11-08     RE: ICI COMMENT...

    [22192]   February 7, 2008 TO: 529 PLAN MEMBERS No. 2-08 BANK, TRUST AND RECORDKEEPER ADVISORY COMMITTEE No. 5-08 BROKER/DEALER ADVISORY COMMITTEE No. 6-08 FEDERAL LEGISLATION MEMBERS No. 2-08 OPERATIONS MEMBERS No. 1-08 PENSION MEMBERS No. 5-08 SMALL FUNDS MEMBERS No. 7-08 TAX...

    [22188]   February 6, 2008 TO: BROKER/DEALER ADVISORY COMMITTEE No. 5-08 OPERATIONS COMMITTEE No. 3-08 SEC RULES COMMITTEE No. 11-08 SMALL FUNDS COMMITTEE No. 4-08 TRANSFER AGENT ADVISORY COMMITTEE No. 5-08     RE: DRAFT ICI COMMENT LETTER ON SEC DISCLOSURE REFORM PROPOSAL...

    [22180]   February 4, 2008 TO: VARIABLE INSURANCE PRODUCTS ADVISORY COMMITTEE No. 7-08 BROKER/DEALER ADVISORY COMMITTEE No. 4-08     RE: FINRA FINES FIRM FOR UNSUITABLE SALE OF DEFERRED VARIABLE ANNUITIES   FINRA settled charges against a member firm for unsuitable sales of...

    [22179]   February 1, 2008 TO: OPERATIONS COMMITTEE No. 2-08 TRANSFER AGENT ADVISORY COMMITTEE No. 3-08 BROKER/DEALER ADVISORY COMMITTEE No. 3-08 BANK, TRUST AND RECORDKEEPER ADVISORY COMMITTEE No. 3-08 INTERNATIONAL OPERATIONS ADVISORY COMMITTEE No. 2-08     RE: 2007 PANDEMIC...

    [22098]   January 7, 2008 TO: BROKER/DEALER ADVISORY COMMITTEE No. 2-08 BROKER/DEALER ASSOCIATE MEMBERS No. 1-08 INVESTMENT ADVISER MEMBERS No. 2-08 SEC RULES MEMBERS No. 3-08     RE: SEC RELEASES PRE-PUBLICATION VERSION OF RAND STUDY ON INVESTMENT ADVISERS AND BROKER-DEALERS  ...

22086   January 2, 2008 TO: PENSION MEMBERS No. 1-08 FEDERAL LEGISLATION MEMBERS No. 1-08 BANK, TRUST AND RECORDKEEPER ADVISORY COMMITTEE No. 1-08 BROKER/DEALER ADVISORY COMMITTEE No. 1-08 OPERATIONS COMMITTEE No. 1-08 RE: SENATORS HARKIN AND KOHL INTRODUCE 401(k) DISCLOSURE BILL  ...

    [22033]   December 11, 2007 TO: BROKER/DEALER ADVISORY COMMITTEE No. 77-07     RE: BDAC MEETING NOTICE - FEBRUARY 6-7, 2008   The next meeting of the Broker/Dealer Advisory Committee will be held on Wednesday, February 6 and Thursday, February 7, 2008 at the offices of American...

    [22026]   December 10, 2007 TO: BANK, TRUST AND RECORDKEEPER ADVISORY COMMITTEE No. 56-07 BROKER/DEALER ADVISORY COMMITTEE No. 76-07 FEDERAL LEGISLATION MEMBERS No. 14-07 OPERATIONS MEMBERS No. 29-07 SMALL FUNDS MEMBERS No. 111-07 TAX MEMBERS No. 55-07 TRANSFER AGENT ADVISORY...

    [22022]   December 7, 2007 TO: BANK, TRUST AND RECORDKEEPER ADVISORY COMMITTEE No. 55-07 BROKER/DEALER ADVISORY COMMITTEE No. 75-07 FEDERAL LEGISLATION MEMBERS No. 13-07 OPERATIONS MEMBERS No. 28-07 SMALL FUNDS MEMBERS No. 110-07 TAX MEMBERS No. 54-07 TRANSFER AGENT ADVISORY...