Broker/Dealer Advisory Content

[28429] October 2, 2014 TO: PRINCIPAL UNDERWRITERS WORKING GROUP BROKER/DEALER ADVISORY COMMITTEE No. 47-14 TRANSFER AGENT ADVISORY COMMITTEE No. 64-14 RE: FINRA PROPOSAL RELATING TO CUSTOMER ACCOUNT STATEMENTS; COMMENTS REQUESTED BY FRIDAY, OCTOBER 10   As you may recall, in May 2009...

[28405] September 25, 2014 TO: ACCOUNTING/TREASURERS COMMITTEE No. 24-14 BANK, TRUST AND RETIREMENT ADVISORY COMMITTEE No. 41-14 BROKER/DEALER ADVISORY COMMITTEE No. 46-14 MONEY MARKET FUNDS ADVISORY COMMITTEE No. 25-14 MUNICIPAL SECURITIES ADVISORY COMMITTEE No. 21-14 OPERATIONS...

[28354] September 2, 2014 TO: TAX MEMBERS No. 25-14 TRANSFER AGENT ADVISORY COMMITTEE No. 58-14 BANK, TRUST AND RETIREMENT ADVISORY COMMITTEE No. 40-14 BROKER/DEALER ADVISORY COMMITTEE No. 45-14 OPERATIONS MEMBERS No. 14-14 ACCOUNTING/TREASURERS MEMBERS No. 12-14 CLOSED-END INVESTMENT...

[28346] August 27, 2014 TO: BROKER/DEALER ADVISORY COMMITTEE No. 44-14 RE: BDAC MEETING NOTICE - OCTOBER 22-23, 2014   The next meeting of the Broker/Dealer Advisory Committee will take place on Wednesday, October 22 and Thursday, October 23, 2014 at the offices of Investment Company...

[28323] August 19, 2014 TO: BANK, TRUST AND RETIREMENT ADVISORY COMMITTEE No. 37-14 BROKER/DEALER ADVISORY COMMITTEE No. 42-14 OPERATIONS COMMITTEE No. 38-14 TRANSFER AGENT ADVISORY COMMITTEE No. 54-14 RE: ICI SUBMITS COMMENT LETTER IN RESPONSE TO SEC'S LATEST TARGET DATE FUNDS...

[28325] August 19, 2014 TO: BANK, TRUST AND RETIREMENT ADVISORY COMMITTEE No. 38-14 BROKER/DEALER ADVISORY COMMITTEE No. 43-14 OPERATIONS COMMITTEE No. 39-14 RE: ICI SUBMITS COMMENT LETTER IN RESPONSE TO FINRA'S RULE 2210 BROKERCHECK PROPOSAL   As previously reported, [1] FINRA has...

[28307] August 11, 2014 TO: AML COMPLIANCE WORKING GROUP No. 3-14 BROKER/DEALER ADVISORY COMMITTEE No. 41-14 SEC RULES COMMITTEE No. 32-14 TRANSFER AGENT ADVISORY COMMITTEE No. 51-14 RE: FINCEN PROPOSES CUSTOMER DUE DILIGENCE RULES   On July 30, 2014, the Financial Crimes Enforcement...

[28296] August 4, 2014 TO: ACCOUNTING/TREASURERS COMMITTEE No. 20-14 BANK, TRUST AND RETIREMENT ADVISORY COMMITTEE No. 35-14 BROKER/DEALER ADVISORY COMMITTEE No. 40-14 MONEY MARKET FUNDS ADVISORY COMMITTEE No. 18-14 MONEY MARKET WORKING GROUP MUNICIPAL SECURITIES ADVISORY COMMITTEE No...

[28290] July 31, 2014 TO: ACCOUNTING/TREASURERS COMMITTEE No. 19-14 BANK, TRUST AND RETIREMENT ADVISORY COMMITTEE No. 34-14 BROKER/DEALER ADVISORY COMMITTEE No. 39-14 MONEY MARKET FUNDS ADVISORY COMMITTEE No. 17-14 MONEY MARKET WORKING GROUP MUNICIPAL SECURITIES ADVISORY COMMITTEE No...

[28281] July 24, 2014 TO: ACCOUNTING/TREASURERS MEMBERS No. 10-14 BANK, TRUST AND RETIREMENT ADVISORY COMMITTEE No. 33-14 BROKER/DEALER ADVISORY COMMITTEE No. 38-14 MONEY MARKET FUNDS ADVISORY COMMITTEE No. 16-14 MUNICIPAL SECURITIES ADVISORY COMMITTEE No. 13-14 OPERATIONS MEMBERS No...