Broker/Dealer Advisory Content

    [21356]   July 13, 2007 TO: BANK, TRUST AND RECORDKEEPER ADVISORY COMMITTEE No. 20-07 BROKER/DEALER ADVISORY COMMITTEE No. 34-07 OPERATIONS COMMITTEE No. 15-07 SEC RULES COMMITTEE No. 58-07 SMALL FUNDS COMMITTEE No. 28-07 TAX COMMITTEE No. 31-07     RE: DRAFT ICI LETTER IN...

    [21354]   July 12, 2007 TO: ACCOUNTING/TREASURERS COMMITTEE No. 14-07 BANK AND TRUST ADVISORY COMMITTEE No. 19-07 BROKER/DEALER ADVISORY COMMITTEE No. 32-07 CLOSED-END INVESTMENT COMPANY COMMITTEE No. 23-07 OPERATIONS COMMITTEE No. 14-07 TAX COMMITTEE No. 30-07 TRANSFER AGENT...

    [21355]   July 12, 2007 TO: SEC RULES MEMBERS No. 82-07 TECHNOLOGY ADVISORY COMMITTEE No. 20-07 COMPLIANCE MEMBERS No. 34-07 BROKER/DEALER ADVISORY COMMITTEE No. 33-07 SMALL FUNDS MEMBERS No. 54-07 RE: INSTITUTE COMMENT LETTER ON NASD/NYSE PROPOSED GUIDANCE RELATING TO THE...

    [21342]   July 9, 2007 TO: BANK, TRUST AND RECORDKEEPER ADVISORY COMMITTEE No. 18-07 BROKER/DEALER ADVISORY COMMITTEE No. 31-07 OPERATIONS COMMITTEE No. 13-07 SMALL FUNDS COMMITTEE No. 26-07 TECHNOLOGY ADVISORY COMMITTEE No. 19-07 TRANSFER AGENT ADVISORY COMMITTEE No. 40-07 RE...

    [21332]   July 3, 2007 TO: COMPLIANCE MEMBERS No. 33-07 SEC RULES MEMBERS No. 79-07 SMALL FUNDS MEMBERS No. 53-07 BROKER/DEALER ADVISORY COMMITTEE No. 30-07 RE: NASD FINES FOUR FIRMS FOR MUTUAL FUND SALES VIOLATIONS   NASD settled charges against four member firms involving mutual...

    [21321]   July 2, 2007 TO: TAX MEMBERS No. 28-07 OPERATIONS MEMBERS No. 11-07 FEDERAL LEGISLATION MEMBERS No. 3-07 SMALL FUNDS MEMBERS No. 50-07 BANK, TRUST AND RECORDKEEPER ADVISORY COMMITTEE No. 17-07 BROKER/DEALER ADVISORY COMMITTEE No. 29-07 TRANSFER AGENT ADVISORY COMMITTEE...

    [21312]   June 28, 2007 TO: SEC RULES COMMITTEE No. 54-07 TECHNOLOGY ADVISORY COMMITTEE No. 18-07 COMPLIANCE ADVISORY COMMITTEE No. 12-07 CHIEF COMPLIANCE OFFICER COMMITTEE No. 16-07 BROKER/DEALER ADVISORY COMMITTEE No. 28-07 SMALL FUNDS COMMITTEE No. 24-07 RE: INSTITUTE DRAFT...

    [21295]   June 20, 2007 TO: 529 PLAN MEMBERS No. 7-07 BROKER/DEALER ADVISORY COMMITTEE No. 27-07 RE: SEC STAFF'S FIRST "COMPLIANCE ALERT" ADDRESSES BROKER-DEALERS' DEFICIENCIES RELATING TO THE SALE OF 529 PLAN SECURITIES   The staff of the Securities and Exchange Commission has...

    [21289]   June 19, 2007 TO: SEC RULES COMMITTEE No. 52-07 TECHNOLOGY ADVISORY COMMITTEE No. 17-07 COMPLIANCE ADVISORY COMMITTEE No. 11-07 CHIEF COMPLIANCE OFFICER COMMITTEE No. 14-07 BROKER/DEALER ADVISORY COMMITTEE No. 26-07 SMALL FUNDS COMMITTEE No. 23-07 RE: NASD AND NYSE SEEK...

    [21252]   June 14, 2007 TO: BANK, TRUST AND RECORDKEEPER ADVISORY COMMITTEE No. 16-07 BROKER/DEALER ADVISORY COMMITTEE No. 25-07 OPERATIONS COMMITTEE No. 12-07 PENSION OPERATIONS ADVISORY COMMITTEE No. 18-07 SMALL FUNDS COMMITTEE No. 21-07 TRANSFER AGENT ADVISORY COMMITTEE No. 33...