Broker/Dealer Advisory Content

[27412] July 29, 2013 TO: BROKER/DEALER ADVISORY COMMITTEE No. 36-13 PRINCIPAL UNDERWRITERS WORKING GROUP RE: ICI FILES COMMENT LETTER WITH SEC ON FINRA'S PROPOSED CONSOLIDATED SUPERVISORY RULES   As we previously advised you, [1] FINRA recently filed with the SEC a proposal that...

[27398] July 23, 2013 TO: PENSION MEMBERS No. 33-13 BANK, TRUST AND RETIREMENT ADVISORY COMMITTEE No. 22-13 BROKER/DEALER ADVISORY COMMITTEE No. 35-13 TRANSFER AGENT ADVISORY COMMITTEE No. 56-13 OPERATIONS COMMITTEE No. 34-13 RE: DOL PROVIDES ANNUAL DEADLINE RELIEF FOR PARTICIPANT FEE...

[27372] July 12, 2013 TO: TAX MEMBERS No. 24-13 INTERNATIONAL MEMBERS No. 30-13 INTERNATIONAL OPERATIONS ADVISORY COMMITTEE No. 12-13 TRANSFER AGENT ADVISORY COMMITTEE No. 53-13 BROKER/DEALER ADVISORY COMMITTEE No. 34-13 ICI GLOBAL MEMBERS TAAC FATCA TASK FORCE No. 5-13 RE: TREASURY...

[27355] July 5, 2013 TO: BROKER/DEALER ADVISORY COMMITTEE No. 32-13 OPERATIONS COMMITTEE No. 29-13 RE: COMMENT LETTER TO SEC IN RESPONSE TO RFI ON POSSIBLE FIDUCIARY DUTY FOR BROKER-DEALERS AND IA-BD HARMONIZATION   In March, the Securities and Exchange Commission published a request...

[27356] July 5, 2013 TO: ACCOUNTING/TREASURERS MEMBERS No. 21-13 INVESTMENT COMPANY DIRECTORS No. 14-13 OPERATIONS MEMBERS No. 16-13 SEC RULES MEMBERS No. 65-13 SMALL FUNDS MEMBERS No. 42-13 TAX MEMBERS No. 23-13 BANK, TRUST AND RETIREMENT ADVISORY COMMITTEE No. 18-13 BROKER/DEALER...

[27352] July 3, 2013 TO: BROKER/DEALER ADVISORY COMMITTEE No. 31-13 PRINCIPAL UNDERWRITERS WORKING GROUP RE: ICI DRAFT COMMENT LETTER ON FINRA'S PROPOSED CONSOLIDATED SUPERVISORY RULES   As we previously advised you, [1] FINRA has filed with the SEC a proposal to adopt a new FINRA...

[27341] June 28, 2013 TO: BROKER/DEALER ADVISORY COMMITTEE No. 30-13 RE: FINRA FILES WITH THE SEC PROPOSED SUPERVISION RULES THAT CONSOLIDATE AND REVISE NASD AND NYSE SUPERVISORY RULES   As you know, FINRA continues to consolidate the regulatory rules of the NASD and the NYSE into...

[27333] June 25, 2013 TO: TRANSFER AGENT ADVISORY COMMITTEE No. 48-13 BROKER/DEALER ADVISORY COMMITTEE No. 29-13 COMPLIANCE MEMBERS No. 30-13 RE: UNRESPONSIVE PAYEE NOTICE REQUIRED BY EXCHANGE ACT RULE 17Ad-17 MUST BE A SEPARATE DOCUMENT   As you may recall, in December 2012, the SEC...

[27287] June 10, 2013 TO: ACCOUNTING/TREASURERS COMMITTEE No. 17-13 BANK, TRUST AND RETIREMENT ADVISORY COMMITTEE No. 15-13 BROKER/DEALER ADVISORY COMMITTEE No. 28-13 INVESTMENT COMPANY DIRECTORS No. 9-13 MONEY MARKET FUNDS ADVISORY COMMITTEE No. 13-13 MUNICIPAL SECURITIES ADVISORY...

[27285] June 7, 2013 TO: PENSION COMMITTEE No. 12-13 PENSION OPERATIONS ADVISORY COMMITTEE No. 12-13 BANK, TRUST AND RETIREMENT ADVISORY COMMITTEE No. 14-13 BROKER/DEALER ADVISORY COMMITTEE No. 27-13 OPERATIONS COMMITTEE No. 24-13 TRANSFER AGENT ADVISORY COMMITTEE No. 42-13 RE...