Broker/Dealer Advisory Content

[28140] May 23, 2014 TO: BROKER/DEALER ADVISORY COMMITTEE No. 26-14 PRINCIPAL UNDERWRITERS WORKING GROUP RE: ICI FILES COMMENT LETTER ON FINRA REVIEW OF ITS NON-CASH COMPENSATION RULE   As we previously informed you, [1] last month FINRA published a notice seeking comment on the...

[28119] May 13, 2014 TO: PENSION MEMBERS No. 20-14 BANK, TRUST AND RETIREMENT ADVISORY COMMITTEE No. 21-14 BROKER/DEALER ADVISORY COMMITTEE No. 25-14 OPERATIONS COMMITTEE No. 26-14 TRANSFER AGENT ADVISORY COMMITTEE No. 28-14 RE: INSTITUTE COMMENT LETTER TO DEPARTMENT OF LABOR ON...

[28105] May 8, 2014 TO: BROKER/DEALER ADVISORY COMMITTEE No. 24-14 PRINCIPAL UNDERWRITERS WORKING GROUP RE: ICI DRAFT COMMENT LETTER ON FINRA REVIEW OF ITS NON-CASH COMPENSATION RULE; COMMENTS REQUESTED BY FRIDAY, MAY 16 As we previously informed you, [1] last month FINRA published a...

[28093] May 5, 2014 TO: BANK, TRUST AND RETIREMENT ADVISORY COMMITTEE No. 20-14 BROKER/DEALER ADVISORY COMMITTEE No. 23-14 TRANSFER AGENT ADVISORY COMMITTEE No. 25-14 RE: INSTITUTE PUBLISHED STUDY ANALYZING TRADITIONAL IRA INVESTORS’ ACTIVITY   Earlier this week, the Investment...

[28090] May 5, 2014 TO: BROKER/DEALER ADVISORY COMMITTEE No. 22-14 TAAC FATCA TASK FORCE No. 5-14 TRANSFER AGENT ADVISORY COMMITTEE No. 23-14 OPERATIONS COMMITTEE No. 22-14 RE: IRS PROVIDES FATCA TRANSACTION RELIEF   The IRS has released Notice 2014-33, which provides that calendar...

[28061] April 24, 2014 TO: BROKER/DEALER ADVISORY COMMITTEE No. 21-14 PRINCIPAL UNDERWRITERS WORKING GROUP RE: FINRA PUBLISHES NOTICE REGARDING ITS REVISED CONSOLIDATED SUPERVISION RULES; EFFECTIVE DATE OF RULES IS DECEMBER 1, 2014   As we previously advised you, in December 2013, the...

[28051] April 21, 2014 TO: BROKER/DEALER ADVISORY COMMITTEE No. 20-14 PRINCIPAL UNDERWRITERS WORKING GROUP RE: FINRA REQUESTS INPUT ON THE NON-CASH  COMPENSATION PROVISIONS OF RULE 2830 AS PART OF ITS RETROSPECTIVE RULE REVIEW; CALL SCHEDULED FOR MONDAY, APRIL 28TH AT 2:30 P.M...

[28048] April 17, 2014 TO: BANK, TRUST AND RETIREMENT ADVISORY COMMITTEE No. 18-14 BROKER/DEALER ADVISORY COMMITTEE No. 19-14 OPERATIONS COMMITTEE No. 21-14 RE: ICI SUBMITS COMMENTS IN RESPONSE TO FSB CONSULTATION ON INVESTMENT FUNDS AS “GLOBAL SIFIS”   In January, the Financial...

[28018] April 7, 2014 TO: BANK, TRUST AND RETIREMENT ADVISORY COMMITTEE No. 16-14 BROKER/DEALER ADVISORY COMMITTEE No. 18-14 OPERATIONS COMMITTEE No. 19-14 TRANSFER AGENT ADVISORY COMMITTEE No. 21-14 RE: ICI RELEASES MUTUAL FUND OPERATIONS PLANNING GUIDE FOR AN UNEXPECTED MARKET CLOSE...

  [28013] April 4, 2014 TO: BROKER/DEALER ADVISORY COMMITTEE No. 17-14 OPERATIONS COMMITTEE No. 18-14 TRANSFER AGENT ADVISORY COMMITTEE No. 20-14 TAAC FATCA TASK FORCE No. 4-14 TAX COMMITTEE No. 10-14 RE: IRS EXTENDS DEADLINE TO REGISTER FOR FATCA AND IDENTIFIES PENDING IGAs  ...