Broker/Dealer Advisory Content

[29215] August 3, 2015 TO: ADVERTISING COMPLIANCE ADVISORY COMMITTEE No. 8-15 BANK, TRUST AND RETIREMENT ADVISORY COMMITTEE No. 28-15 BROKER/DEALER ADVISORY COMMITTEE No. 38-15 OPERATIONS MEMBERS No. 26-15 PRINCIPAL UNDERWRITERS WORKING GROUP SMALL FUNDS COMMITTEE No. 24-15 RE: ICI...

[29204] July 30, 2015 TO: PENSION MEMBERS No. 24-15 OPERATIONS MEMBERS No. 25-15 SMALL FUNDS MEMBERS No. 34-15 BANK, TRUST AND RETIREMENT ADVISORY COMMITTEE No. 27-15 BROKER/DEALER ADVISORY COMMITTEE No. 37-15 TRANSFER AGENT ADVISORY COMMITTEE No. 38-15 RE: INSTITUTE COMMENT LETTERS...

[29194] July 24, 2015 TO: BROKER/DEALER ADVISORY COMMITTEE No. 36-15 PRINCIPAL UNDERWRITERS WORKING GROUP RE: ICI FILES COMMENT LETTER WITH FINRA ON ITS PROPOSAL TO RESTRUCTURE ITS QUALIFICATION EXAMINATIONS   As we previously informed you, in May, FINRA published a notice seeking...

[29185] July 21, 2015 TO: ADVERTISING COMPLIANCE ADVISORY COMMITTEE No. 7-15 BANK, TRUST AND RETIREMENT ADVISORY COMMITTEE No. 25-15 BROKER/DEALER ADVISORY COMMITTEE No. 34-15 OPERATIONS COMMITTEE No. 16-15 PRINCIPAL UNDERWRITERS WORKING GROUP SMALL FUNDS COMMITTEE No. 22-15 RE: ICI...

[29164] July 10, 2015 TO: ACCOUNTING/TREASURERS COMMITTEE No. 19-15 BANK, TRUST AND RETIREMENT ADVISORY COMMITTEE No. 23-15 BROKER/DEALER ADVISORY COMMITTEE No. 32-15 CHIEF COMPLIANCE OFFICER COMMITTEE No. 15-15 END OF DAY PRICING FORUM No. 4-15 INDEPENDENT DIRECTORS COUNCIL No. 1-15...

[29167] July 10, 2015 TO: ADVERTISING COMPLIANCE ADVISORY COMMITTEE No. 6-15 BANK, TRUST AND RETIREMENT ADVISORY COMMITTEE No. 24-15 BROKER/DEALER ADVISORY COMMITTEE No. 33-15 OPERATIONS COMMITTEE No. 15-15 PRINCIPAL UNDERWRITERS WORKING GROUP SMALL FUNDS COMMITTEE No. 20-15 RE: FINRA...

[29150] July 8, 2015 TO: BROKER/DEALER ADVISORY COMMITTEE No. 31-15 OPERATIONS MEMBERS No. 24-15 PRINCIPAL UNDERWRITERS WORKING GROUP TRANSFER AGENT ADVISORY COMMITTEE No. 33-15 RE: FINRA SANCTIONS FUND DISTRIBUTORS FOR FAILING TO WAIVE FEES IN ACCORDANCE WITH FUND PROSPECTUSES  ...

[29144] July 6, 2015 TO: 529 PLAN MEMBERS No. 7-15 BANK, TRUST AND RETIREMENT ADVISORY COMMITTEE No. 22-15 BROKER/DEALER ADVISORY COMMITTEE No. 30-15 OPERATIONS MEMBERS No. 23-15 PENSION MEMBERS No. 23-15 TRANSFER AGENT ADVISORY COMMITTEE No. 32-15 RE: IRS ISSUES PROPOSED ABLE ACT...

[29141] July 2, 2015 TO: OPERATIONS COMMITTEE No. 13-15 ACCOUNTING/TREASURERS COMMITTEE No. 16-15 BANK, TRUST AND RETIREMENT ADVISORY COMMITTEE No. 21-15 BROKER/DEALER ADVISORY COMMITTEE No. 29-15 MONEY MARKET FUNDS ADVISORY COMMITTEE No. 22-15 SMALL FUNDS COMMITTEE No. 17-15 TRANSFER...

A white paper has been published by the Industry Steering Committee (ISC) to shorten the U.S. Securities Settlement cycle that summarizes industry level requirements, including regulatory changes, which are necessary for the migration from trade date plus three days (T+3) to trade...