Broker/Dealer Advisory Content

[30436] November 30, 2016 TO: Bank, Trust and Retirement Advisory Committee Broker/Dealer Advisory Committee Chief Compliance Officer Committee Chief Risk Officer Committee Compliance Advisory Committee Internal Audit Advisory Committee Operations CommitteeSecurities Operations...

[30424] November 25, 2016 TO: Broker/Dealer Advisory Committee Principal Underwriters Working Group Transfer Agent Advisory Committee RE: ICI Files Comment Letter with SEC Supporting FINRA Rules to Protect Senior Investors As we previously informed you, in October FINRA filed with the...

[30420] November 23, 2016 TO: Bank, Trust and Retirement Advisory Broker/Dealer Advisory RE: BDAC/BTRAC Swing Pricing Task Force - Roster Creation As requested in the task force kick off call on Monday, November 21, please use this link to add yourself and/or subject matter expert(s)...

[30391] November 10, 2016 TO: Bank, Trust and Retirement Advisory Committee Broker/Dealer Advisory Committee RE: BDAC/BTRAC Swing Pricing Task Force As follow up to the November 17 ICI conference in Boston on the Liquidity Risk Management rule, we are announcing the formation of the...

[30388] November 8, 2016 TO: Broker/Dealer Advisory Committee Principal Underwriters Working Group Transfer Agent Advisory Committee RE: SEC Publishes for Comment FINRA's Proposed Rule to Address Senior Exploitation; Comments Requested by November 18 Background As you may recall, in...

[30371] November 1, 2016 TO: Bank, Trust and Retirement Advisory Committee Broker/Dealer Advisory Committee CCO Advisory Issues Subcommittee Chief Compliance Officer Committee Operations Commitee Pension Operations Advisory Committee Principal Underwriters Working Group Small Funds...

[30369] October 31, 2016 TO: Broker/Dealer Advisory RE: Broker/Dealer Advisory Committee Roster - October, 2016 Please refer to the attached PDF of the committee roster. We send this each fall, at the request of committee members who would like a list of current committee members for...

[30361] October 28, 2016 TO: PENSION MEMBERS No. 37-16OPERATIONS MEMBERS No. 36-16SEC RULES COMMITTEE No. 48-16SMALL FUNDS COMMITTEE No. 30-16SALES AND MARKETING COMMITTEE No. 14-16TRANSFER AGENT ADVISORY COMMITTEE No. 57-16BANK, TRUST AND RETIREMENT ADVISORY COMMITTEE No. 44-16BROKER...

[30345] October 26, 2016 TO: BANK, TRUST AND RETIREMENT ADVISORY COMMITTEE No. 43-16BROKER/DEALER ADVISORY COMMITTEE No. 40-16COMPLIANCE MEMBERS No. 37-16OPERATIONS COMMITTEE No. 26-16PENSION OPERATIONS ADVISORY COMMITTEE No. 7-16PRINCIPAL UNDERWRITERS WORKING GROUP SMALL FUNDS...