Broker/Dealer Advisory Content

    [21569]   September 7, 2007 TO: COMPLIANCE MEMBERS No. 53-07 SEC RULES MEMBERS No. 118-07 SMALL FUNDS MEMBERS No. 79-07 BROKER/DEALER ADVISORY COMMITTEE No. 54-07 BROKER/DEALER ASSOCIATE MEMBERS No. 3-07 RE: CALIFORNIA APPELLATE COURT RULES THAT STATE ACTION INVOLVING REVENUE...

[21537]   August 28, 2007 TO: OPERATIONS MEMBERS No. 15-07 BROKER/DEALER ADVISORY COMMITTEE No. 52-07 BANK, TRUST AND RECORDKEEPER ADVISORY COMMITTEE No. 32-07 COMPLIANCE ADVISORY COMMITTEE No. 18-07 PENSION OPERATIONS ADVISORY COMMITTEE No. 25-07 INTERNATIONAL OPERATIONS ADVISORY...

    [21546]   August 28, 2007 TO: TRANSFER AGENT ADVISORY COMMITTEE No. 54-07 BROKER/DEALER ADVISORY COMMITTEE No. 53-07 COMPLIANCE MEMBERS No. 50-07 SEC RULES MEMBERS No. 114-07     RE: DRAFT ICI COMMENT LETTER SUPPORTING FINRA PROVIDING GREATER FLEXIBILITY IN MAINTAINING...

[21535]   August 28, 2007 TO: BANK, TRUST AND RECORDKEEPER ADVISORY COMMITTEE No. 31-07 BROKER/DEALER ADVISORY COMMITTEE No. 51-07 SMALL FUNDS COMMITTEE No. 33-07 RE: FINCEN ISSUES FINAL RULE ON “ENHANCED DUE DILIGENCE” REQUIREMENTS FOR ACCOUNTS OF CERTAIN FOREIGN BANKS   The...

[21500]   August 21, 2007 TO: BROKER/DEALER ADVISORY COMMITTEE No. 50-07 OPERATIONS MEMBERS No. 13-07 COMPLIANCE MEMBERS No. 47-07 VARIABLE INSURANCE PRODUCTS ADVISORY COMMITTEE No. 14-07 RE: NEW FINRA RULE 2342 REQUIRES BROKER-DEALERS TO PROVIDE SIPC INFORMATION TO CUSTOMERS...

[21469]   August 13, 2007 TO: BANK, TRUST AND RECORDKEEPER ADVISORY COMMITTEE No. 28-07 BROKER/DEALER ADVISORY COMMITTEE No. 48-07 RE: FEDERAL WEBSITE WITH HELPFUL INFORMATION/TIPS ON COMPUTER SECURITY   The Federal Trade Commission has partnered with various federal agencies...

[21470]   August 13, 2007 TO: BANK, TRUST AND RECORDKEEPER ADVISORY COMMITTEE No. 29-07 BROKER/DEALER ADVISORY COMMITTEE No. 49-07 RE: ICI CONFERENCE CALL TO DISCUSS REP. MILLER 401(K) DISCLOSURE LEGISLATION SCHEDULED FOR AUGUST 16, AT 4:00 PM ET   The Institute will hold a conference...

[21464]   August 10, 2007 TO: BROKER/DEALER ADVISORY COMMITTEE No. 47-07 COMPLIANCE MEMBERS No. 46-07 PRIVACY ISSUES WORKING GROUP No. 7-07 TRANSFER AGENT ADVISORY COMMITTEE No. 46-07 RE: FTC REQUESTS COMMENT ON USE OF SSNS BY THE PRIVATE SECTOR; CONFERENCE CALL ON AUGUST 21ST AT 4 PM...

[21427]   August 3, 2007 TO: BROKER/DEALER ADVISORY COMMITTEE No. 46-07 COMPLIANCE MEMBERS No. 42-07 SEC RULES MEMBERS No. 99-07 RE: NASD PERMITS MULTIPLE CCOS AND CO-CEOS TO FULFILL MEMBERS’ ANNUAL COMPLIANCE CERTIFICATIONS SUBJECT TO CONDITIONS   Effective July 16, 2007, the NASD...

[21418]   August 1, 2007 TO: BROKER/DEALER ADVISORY COMMITTEE No. 45-07 RE: BDAC MEETING NOTICE - OCTOBER 17, 2007   The next meeting of the Broker/Dealer Advisory Committee will take place on Wednesday, October 17, 2007 at the offices of Investment Company Institute located at 1401 H...