Broker/Dealer Advisory Content

[28729] February 11, 2015 TO: OPERATIONS COMMITTEE No. 5-15 BANK, TRUST AND RETIREMENT ADVISORY COMMITTEE No. 4-15 BROKER/DEALER ADVISORY COMMITTEE No. 6-15 TRANSFER AGENT ADVISORY COMMITTEE No. 7-15 RE: RETIREMENT PLAN PROPOSALS IN OBAMA ADMINISTRATION FY 2016 BUDGET   President...

[28705] February 3, 2015 TO: ACCOUNTING/TREASURERS COMMITTEE No. 2-15 BANK, TRUST AND RETIREMENT ADVISORY COMMITTEE No. 3-15 BROKER/DEALER ADVISORY COMMITTEE No. 4-15 MONEY MARKET FUNDS ADVISORY COMMITTEE No. 7-15 MUNICIPAL SECURITIES ADVISORY COMMITTEE No. 4-15 OPERATIONS COMMITTEE...

[28707] February 3, 2015 TO: CHIEF INFORMATION SECURITY OFFICER ADVISORY COMMITTEE CHIEF RISK OFFICER COMMITTEE No. 3-15 BROKER/DEALER ADVISORY COMMITTEE No. 5-15 SEC RULES MEMBERS No. 7-15 COMPLIANCE MEMBERS No. 5-15 SMALL FUNDS MEMBERS No. 3-15 TECHNOLOGY COMMITTEE No. 3-15 TRANSFER...

[28704] February 3, 2015 TO: BROKER/DEALER ADVISORY COMMITTEE No. 3-15 OPERATIONS COMMITTEE No. 3-15 TRANSFER AGENT ADVISORY COMMITTEE No. 4-15 RE: STATE OF WASHINGTON ISSUES POLICY STATEMENT REGARDING PROCESS TO VOLUNTARILY RESOLVE OVERSALES IN THE STATE   As you may know, the State...

[28664] January 13, 2015 TO: BROKER/DEALER ADVISORY COMMITTEE No. 2-15 CHIEF RISK OFFICER COMMITTEE No. 1-15 COMPLIANCE MEMBERS No. 2-15 INTERNAL AUDIT ADVISORY COMMITTEE No. 1-15 INVESTMENT COMPANY DIRECTORS No. 1-15 OPERATIONS MEMBERS No. 2-15 PENSION MEMBERS No. 3-15 SEC RULES...

[28646] January 7, 2015 TO: PENSION MEMBERS No. 1-15 BANK, TRUST AND RETIREMENT ADVISORY COMMITTEE No. 1-15 BROKER/DEALER ADVISORY COMMITTEE No. 1-15 OPERATIONS MEMBERS No. 1-15 TRANSFER AGENT ADVISORY COMMITTEE No. 1-15 RE: INSTITUTE COMMENT LETTER TO OMB ON DEPARTMENT OF LABOR...

[28636] December 30, 2014 TO: TRANSFER AGENT ADVISORY COMMITTEE No. 79-14 BROKER/DEALER ADVISORY COMMITTEE No. 60-14 BANK, TRUST AND RETIREMENT ADVISORY COMMITTEE No. 52-14 RE: FSOC REQUEST FOR COMMENT ON ASSET MANAGEMENT AND POSSIBLE RISKS TO FINANCIAL STABILITY   At an open session...

[28638] December 30, 2014 TO: TRANSFER AGENT ADVISORY COMMITTEE No. 80-14 BROKER/DEALER ADVISORY COMMITTEE No. 61-14 BANK, TRUST AND RETIREMENT ADVISORY COMMITTEE No. 53-14 RE: SEC CHAIR WHITE SPEECH ON ENHANCING RISK MONITORING AND REGULATORY SAFEGUARDS FOR THE ASSET MANAGEMENT...

[28581] December 15, 2014 TO: BROKER/DEALER ADVISORY COMMITTEE No. 59-14 RE: BDAC MEETING NOTICE - JANUARY 21-22, 2015   The next meeting of the Broker/Dealer Advisory Committee will take place on Wednesday, January 21 and Thursday, January 22, 2015 at the offices of The Capital Group...

[28572] December 12, 2014 TO: BROKER/DEALER ADVISORY COMMITTEE No. 58-14 PRINCIPAL UNDERWRITERS WORKING GROUP RE: FINRA PUBLISHES RETROSPECTIVE RULE REVIEW REPORT RELATING TO ITS GIFTS, GRATUITIES, AND NON-CASH COMPENSATION RULES   As you may recall, in April 2014, FINRA published a...