Broker/Dealer Advisory Content

[30153] August 19, 2016 TO: BANK, TRUST AND RETIREMENT ADVISORY COMMITTEE No. 26-16 BROKER/DEALER ADVISORY COMMITTEE No. 28-16 OPERATIONS COMMITTEE No. 20-16 SMALL FUNDS COMMITTEE No. 23-16 TRANSFER AGENT ADVISORY COMMITTEE No. 36-16 RE: EVOLUTION OF THE FINANCIAL INTERMEDIARY...

[30127] August 12, 2016 TO: BROKER/DEALER ADVISORY COMMITTEE No. 27-16 PRINCIPAL UNDERWRITERS WORKING GROUP RE: FINRA PROPOSES CHANGES TO ITS NON-CASH COMPENSATION RULES; ICI REQUESTS MEMBERS’ COMMENTS BY AUGUST 26   FINRA has published a notice seeking comment on amendments it...

[30120] August 8, 2016 TO: ACCOUNTING/TREASURERS COMMITTEE No. 17-16 BANK, TRUST AND RETIREMENT ADVISORY COMMITTEE No. 25-16 BROKER/DEALER ADVISORY COMMITTEE No. 26-16 CHIEF RISK OFFICER COMMITTEE No. 21-16 COMPLIANCE ADVISORY COMMITTEE No. 9-16 INVESTMENT ADVISERS COMMITTEE No. 14-16...

[30076] July 28, 2016 TO: TAX MEMBERS No. 14-16 TRANSFER AGENT ADVISORY COMMITTEE No. 31-16 BANK, TRUST AND RETIREMENT ADVISORY COMMITTEE No. 23-16 BROKER/DEALER ADVISORY COMMITTEE No. 25-16 OPERATIONS COMMITTEE No. 16-16 ACCOUNTING/TREASURERS COMMITTEE No. 15-16 CLOSED-END INVESTMENT...

The Uniform Law Commission (ULC) is a body charged with drafting laws to address issues of interest to the various states in order to better ensure uniformity in such laws (the Uniform Commercial Code is one such law).

[30039] July 15, 2016 TO: BROKER/DEALER ADVISORY COMMITTEE No. 23-16 RE: MARK YOUR CALENDAR - BDAC 2017 MEETING SCHEDULE   The Broker/Dealer Advisory Committee 2017 meeting schedule has been finalized. Please mark your calendars for the following meeting dates: January 25-26 April 19...

[30025] July 8, 2016 TO: ACCOUNTING/TREASURERS COMMITTEE No. 12-16 BANK, TRUST AND RETIREMENT ADVISORY COMMITTEE No. 20-16 BROKER/DEALER ADVISORY COMMITTEE No. 22-16 CHIEF RISK OFFICER COMMITTEE No. 15-16 COMPLIANCE ADVISORY COMMITTEE No. 5-16 INVESTMENT ADVISERS COMMITTEE No. 10-16...

[30017] July 7, 2016 TO: ACCOUNTING/TREASURERS MEMBERS No. 16-16 BANK, TRUST AND RETIREMENT ADVISORY COMMITTEE No. 19-16 BROKER/DEALER ADVISORY COMMITTEE No. 21-16 MONEY MARKET FUNDS ADVISORY COMMITTEE No. 15-16 MUNICIPAL SECURITIES ADVISORY COMMITTEE No. 13-16 OPERATIONS MEMBERS No...

[30010] July 5, 2016 TO: BANK, TRUST AND RETIREMENT ADVISORY COMMITTEE No. 18-16 BROKER/DEALER ADVISORY COMMITTEE No. 20-16 CHIEF COMPLIANCE OFFICER COMMITTEE No. 12-16 CHIEF RISK OFFICER COMMITTEE No. 14-16 COMPLIANCE ADVISORY COMMITTEE No. 4-16 INVESTMENT ADVISERS COMMITTEE No. 9-16...