Broker/Dealer Advisory Content

[30661] April 3, 2017 TO: Broker/Dealer Advisory Committee Principal Underwriters Working Group Transfer Agent Advisory Committee RE: FINRA Adopts Rules to Protect Seniors and Other Vulnerable Adults from Financial Exploitation and Abuse The SEC recently approved amendments to FINRA’s...

[30636] March 13, 2017 TO: Broker/Dealer Advisory Committee RE: BDAC Meeting Notice - April 19-20, 2017 The next meeting of the Broker/Dealer Advisory Committee will take place on Wednesday, April 19 and Thursday, April 20, 2017 at the offices of the Wells Fargo Advisors, located at...

[30602] February 24, 2017 TO: ICI Members AML Compliance Working Group Broker/Dealer Advisory Committee Investment Advisers Committee Operations Committee SEC Rules Committee Small Funds Committee Transfer Agent Advisory Committee SUBJECTS: Anti-Money Laundering Compliance Operations...

[30590] February 21, 2017 TO: ICI Members Investment Company Directors ICI Global Members Accounting/Treasurers Committee Bank, Trust and Retirement Advisory Committee Broker/Dealer Advisory Committee Chief Compliance Officer Committee Chief Risk Officer Committee Investment Advisers...

[30553] January 31, 2017 TO: ICI Members Bank, Trust and Retirement Advisory Committee Broker/Dealer Advisory Committee Chief Compliance Officer Committee Operations Committee Pension Committee Pension Operations Advisory Committee Sales and Marketing Committee Small Funds Committee...

[30550] January 30, 2017 TO: ICI Members Bank, Trust and Retirement Advisory Committee Broker/Dealer Advisory Committee Operations Committee Pension Operations Advisory Committee Principal Underwriters Working Group Small Funds Committee Transfer Agent Advisory Committee SUBJECTS...

[30512] January 11, 2017 TO: ICI Members Investment Company Directors Advertising Compliance Advisory Committee Bank, Trust and Retirement Advisory Committee Broker/Dealer Advisory Committee Chief Compliance Officer Committee Operations Committee Pension Committee Pension Operations...

[30467] December 9, 2016 TO: Broker/Dealer Advisory Committee RE: BDAC Meeting Notice - January 25-26, 2017 The next meeting of the Broker/Dealer Advisory Committee will take place on Wednesday, January 25 and Thursday, January 26, 2017 at the offices of the LPL Financial located at...

[30441] December 1, 2016 TO: Bank, Trust and Retirement Advisory Committee Broker/Dealer Advisory Committee RE: BDAC/BTRAC Conference Call on NSCC Enhancements - December 9, 2016 Committee members and their colleagues are invited to join the fourth quarter BDAC/BTRAC Conference Call...