Broker/Dealer Advisory Content

[29076] June 10, 2015 TO: BROKER/DEALER ADVISORY COMMITTEE No. 27-15 RE: BDAC MEETING NOTICE - JULY 20-21, 2015   The next meeting of the Broker/Dealer Advisory Committee will take place on Monday, July 20 and Tuesday, July 21 at the offices of Charles Schwab, 9825 Schwab Way, Lone...

[29073] June 9, 2015 TO: BROKER/DEALER ADVISORY COMMITTEE No. 26-15 COMPLIANCE MEMBERS No. 21-15 INVESTMENT ADVISER MEMBERS No. 15-15 OPERATIONS MEMBERS No. 22-15 SEC RULES MEMBERS No. 38-15 SMALL FUNDS MEMBERS No. 26-15 TRANSFER AGENT ADVISORY COMMITTEE No. 28-15 RE: CLARIFICATION OF...

[29067] June 8, 2015 TO: PENSION MEMBERS No. 19-15 BANK, TRUST AND RETIREMENT ADVISORY COMMITTEE No. 18-15 BROKER/DEALER ADVISORY COMMITTEE No. 25-15 OPERATIONS MEMBERS No. 19-15 TRANSFER AGENT ADVISORY COMMITTEE No. 25-15 RE: DEPARTMENT OF LABOR ISSUES UPDATED REGULATORY AGENDA AND...

[29053] June 4, 2015 TO: BROKER/DEALER ADVISORY COMMITTEE No. 22-15 PRINCIPAL UNDERWRITERS WORKING GROUP RE: FINRA PUBLISHES FOR COMMENT A CONCEPT PROPOSAL TO RESTRUCTURE ITS QUALIFICATION EXAMINATIONS   The Financial Industry Regulatory Authority (FINRA) is seeking comment on a...

[29051] June 4, 2015 TO: ACCOUNTING/TREASURERS MEMBERS No. 13-15 BANK, TRUST AND RETIREMENT ADVISORY COMMITTEE No. 17-15 BROKER/DEALER ADVISORY COMMITTEE No. 24-15 MONEY MARKET FUNDS ADVISORY COMMITTEE No. 18-15 MUNICIPAL SECURITIES ADVISORY COMMITTEE No. 11-15 OPERATIONS MEMBERS No...

[29054] June 4, 2015 TO: BROKER/DEALER ADVISORY COMMITTEE No. 23-15 PRINCIPAL UNDERWRITERS WORKING GROUP RE: FINRA SEEKS COMMENT ON RULE REQUIRING DISCLOSURE TO CUSTOMERS ASKED TO TRANSFER THEIR ACCOUNT TO A REPRESENTATIVE'S NEW FIRM   The Financial Industry Regulatory Authority...

[29036] May 28, 2015 TO: ACCOUNTING/TREASURERS MEMBERS No. 11-15 BANK, TRUST AND RETIREMENT ADVISORY COMMITTEE No. 15-15 BROKER/DEALER ADVISORY COMMITTEE No. 20-15 CHIEF RISK OFFICER COMMITTEE No. 12-15 CLOSED-END INVESTMENT COMPANY MEMBERS No. 18-15 COMPLIANCE MEMBERS No. 20-15...

[29006] May 22, 2015 TO: BROKER/DEALER ADVISORY COMMITTEE No. 19-15 RE: UPDATE - MARK YOUR CALENDAR - 2015 BDAC MEETING SCHEDULE   The Broker/Dealer Advisory Committee 2015 meeting date for July has been updated.  Please mark your calendars for the following meeting date: July 20-21  ...

[28960] May 7, 2015 TO: 529 PLAN MEMBERS No. 5-15 ACCOUNTING/TREASURERS MEMBERS No. 10-15 ADVISER DISTRIBUTOR TAX ISSUES TASK FORCE No. 9-15 BDAC COST BASIS REPORTING TASK FORCE No. 1-15 BANK, TRUST AND RETIREMENT ADVISORY COMMITTEE No. 14-15 BROKER/DEALER ADVISORY COMMITTEE No. 18-15...

[28946] April 30, 2015 TO: OPERATIONS MEMBERS No. 17-15 OPERATIONS COMMITTEE No. 8-15 BROKER/DEALER ADVISORY COMMITTEE No. 17-15 BANK, TRUST AND RETIREMENT ADVISORY COMMITTEE No. 13-15 TRANSFER AGENT ADVISORY COMMITTEE No. 19-15 SMALL FUNDS COMMITTEE No. 5-15 RE: DTCC MUTUAL FUND...