Broker/Dealer Advisory Content

[27863] January 27, 2014 TO: PENSION MEMBERS No. 2-14 BROKER/DEALER ADVISORY COMMITTEE No. 6-14 BANK, TRUST AND RETIREMENT ADVISORY COMMITTEE No. 6-14 OPERATIONS COMMITTEE No. 4-14 RE: FINRA ISSUES INVESTOR ALERT REGARDING IRA ROLLOVERS   Following up on its recent guidance in...

[27854] January 22, 2014 TO: BROKER/DEALER ADVISORY COMMITTEE No. 5-14 OPERATIONS COMMITTEE No. 2-14 TRANSFER AGENT ADVISORY COMMITTEE No. 5-14 TAAC FATCA TASK FORCE No. 2-14 TAX COMMITTEE No. 2-14 RE: ICI MUTUAL FUND TRANSFER AGENT GUIDE FOR FOREIGN ACCOUNT TAX COMPLIANCE ACT (FATCA)...

[27847] January 16, 2014 TO: ACCOUNTING/TREASURERS MEMBERS No. 1-14 BANK, TRUST AND RETIREMENT ADVISORY COMMITTEE No. 5-14 BROKER/DEALER ADVISORY COMMITTEE No. 4-14 COMPLIANCE MEMBERS No. 3-14 INVESTMENT COMPANY DIRECTORS No. 2-14 OPERATIONS MEMBERS No. 2-14 SMALL FUNDS MEMBERS No. 2...

[27827] January 10, 2014 TO: COMPLIANCE MEMBERS No. 1-14 OPERATIONS MEMBERS No. 1-14 BROKER/DEALER ADVISORY COMMITTEE No. 3-14 TRANSFER AGENT ADVISORY COMMITTEE No. 2-14 SEC RULES MEMBERS No. 2-14 INTERNAL AUDIT ADVISORY COMMITTEE No. 1-14 CHIEF RISK OFFICER COMMITTEE No. 1-14 RE: SEC...

[27822] January 8, 2014 TO: PENSION MEMBERS No. 1-14 BROKER/DEALER ADVISORY COMMITTEE No. 2-14 BANK, TRUST AND RETIREMENT ADVISORY COMMITTEE No. 1-14 OPERATIONS COMMITTEE No. 1-14 RE: FINRA ISSUES REGULATORY GUIDANCE REMINDING FIRMS OF THEIR RESPONSIBILITIES REGARDING IRA ROLLOVERS  ...

[27818] January 6, 2014 TO: TAX MEMBERS No. 1-14 TRANSFER AGENT ADVISORY COMMITTEE No. 1-14 BROKER/DEALER ADVISORY COMMITTEE No. 1-14 TAAC FATCA TASK FORCE No. 1-14 RE: ICI COMMENT LETTER ON FORM W-9 SUBMITTED TO IRS   On January 6, the ICI and the American Council of Life Insurers (...

[27813] December 30, 2013 TO: TAX MEMBERS No. 37-13 INTERNATIONAL MEMBERS No. 57-13 ICI GLOBAL TAX COMMITTEE No. 23-13 INTERNATIONAL OPERATIONS ADVISORY COMMITTEE No. 16-13 TRANSFER AGENT ADVISORY COMMITTEE No. 91-13 BROKER/DEALER ADVISORY COMMITTEE No. 60-13 TAAC FATCA TASK FORCE No...

[27811] December 24, 2013 TO: BROKER/DEALER ADVISORY COMMITTEE No. 59-13 PRINCIPAL UNDERWRITERS WORKING GROUP RE: SEC APPROVES FINRA'S PROPOSED CONSOLIDATED SUPERVISORY RULES   The Securities and Exchange Commission has published an order approving FINRA’s proposed rewrite of its...

[27801] December 20, 2013 TO: TAX MEMBERS No. 36-13 INTERNATIONAL MEMBERS No. 55-13 ICI GLOBAL TAX COMMITTEE No. 22-13 INTERNATIONAL OPERATIONS ADVISORY COMMITTEE No. 15-13 TRANSFER AGENT ADVISORY COMMITTEE No. 90-13 BROKER/DEALER ADVISORY COMMITTEE No. 58-13 TAAC FATCA TASK FORCE No...

[27799] December 20, 2013 TO: BROKER/DEALER ADVISORY COMMITTEE No. 57-13 BANK, TRUST AND RETIREMENT ADVISORY COMMITTEE No. 46-13 OPERATIONS COMMITTEE No. 60-13 TRANSFER AGENT ADVISORY COMMITTEE No. 89-13 SMALL FUNDS COMMITTEE No. 25-13 RE: INSTITUTE PUBLISHES QUARTERLY RETIREMENT...