Broker/Dealer Advisory Content

[29465] November 3, 2015 TO: BROKER/DEALER ADVISORY COMMITTEE No. 47-15 PRINCIPAL UNDERWRITERS WORKING GROUP RE: FINRA REQUESTS COMMENT ON RULES TO ADDRESS FINANCIAL EXPLOITATION OF SENIORS; CALL TO DISCUSS ON NOV. 10 AT 2PM EASTERN   FINRA has published a notice seeking comment on...

[29457] October 30, 2015 TO: BROKER/DEALER ADVISORY COMMITTEE No. 46-15 OPERATIONS MEMBERS No. 28-15 PRINCIPAL UNDERWRITERS WORKING GROUP TRANSFER AGENT ADVISORY COMMITTEE No. 54-15 RE: FINRA SANCTIONS ADDITIONAL FUND DISTRIBUTORS FOR FAILING TO WAIVE FEES IN ACCORDANCE WITH FUND...

In June, the Industry Steering Committee (ISC) to shorten the U.S. securities settlement cycle released a white paper recommending a migration target of the 3rd quarter, 2017 for the move to T+2 settlement cycle.

[29367] September 28, 2015 TO: ACCOUNTING/TREASURERS COMMITTEE No. 24-15 BANK, TRUST AND RETIREMENT ADVISORY COMMITTEE No. 33-15 BROKER/DEALER ADVISORY COMMITTEE No. 44-15 CHIEF RISK OFFICER COMMITTEE No. 22-15 COMPLIANCE ADVISORY COMMITTEE No. 8-15 END OF DAY PRICING FORUM No. 7-15...

[29360] September 21, 2015 TO: BANK, TRUST AND RETIREMENT ADVISORY COMMITTEE No. 32-15 BROKER/DEALER ADVISORY COMMITTEE No. 43-15 COMPLIANCE MEMBERS No. 27-15 OPERATIONS MEMBERS No. 26-15 SEC RULES MEMBERS No. 54-15 SMALL FUNDS MEMBERS No. 41-15 TRANSFER AGENT ADVISORY COMMITTEE No...

  [29336]   September 14, 2015 TO: BROKER/DEALER ADVISORY COMMITTEE No. 41-15 RE: MARK YOUR CALENDAR - BDAC 2016 MEETING SCHEDULE   The Broker/Dealer Advisory Committee 2016 meeting schedule has been finalized. Please mark your calendars for the following meeting dates: January 26-27...

[29337] September 14, 2015 TO: BROKER/DEALER ADVISORY COMMITTEE No. 42-15 RE: BDAC MEETING NOTICE - OCTOBER 21-22, 2015   The next meeting of the Broker/Dealer Advisory Committee will take place on Wednesday, October 21 and Thursday, October 22 at the Investment Company Institute...

[29250] August 13, 2015 TO: BROKER/DEALER ADVISORY COMMITTEE No. 40-15 OPERATIONS COMMITTEE No. 18-15 PRINCIPAL UNDERWRITERS WORKING GROUP SMALL FUNDS COMMITTEE No. 24-15 TRANSFER AGENT ADVISORY COMMITTEE No. 42-15 RE: ICI FILES COMMENT LETTER WITH FINRA ON PROPOSED DISCRETIONARY...

[29242] August 11, 2015 TO: ACCOUNTING/TREASURERS MEMBERS No. 18-15 BANK, TRUST AND RETIREMENT ADVISORY COMMITTEE No. 29-15 BROKER/DEALER ADVISORY COMMITTEE No. 39-15 CHIEF RISK OFFICER COMMITTEE No. 20-15 CLOSED-END INVESTMENT COMPANY MEMBERS No. 26-15 COMPLIANCE MEMBERS No. 23-15...

[29229] August 6, 2015 TO: TAX MEMBERS No. 17-15 TRANSFER AGENT ADVISORY COMMITTEE No. 39-15 BANK, TRUST AND RETIREMENT ADVISORY COMMITTEE No. 28-15 BROKER/DEALER ADVISORY COMMITTEE No. 38-15 OPERATIONS COMMITTEE No. 17-15 ACCOUNTING/TREASURERS COMMITTEE No. 22-15 CLOSED-END...