Broker/Dealer Advisory Content

  [25966] March 7, 2012 TO: BDAC COST BASIS REPORTING TASK FORCE No. 3-12 BANK, TRUST AND RETIREMENT ADVISORY COMMITTEE No. 11-12 BROKER/DEALER ADVISORY COMMITTEE No. 14-12 OPERATIONS COMMITTEE No. 8-12 SMALL FUNDS COMMITTEE No. 7-12 TAX COMMITTEE No. 13-12 TRANSFER AGENT ADVISORY...

[25960] March 5, 2012 TO: AML COMPLIANCE WORKING GROUP No. 3-12 TRANSFER AGENT ADVISORY COMMITTEE No. 14-12 BROKER/DEALER ADVISORY COMMITTEE No. 13-12 BANK, TRUST AND RETIREMENT ADVISORY COMMITTEE No. 10-12 RE: FINCEN'S ADVANCE NOTICE OF PROPOSED RULEMAKING ON POSSIBLE CUSTOMER DUE...

  [25950] March 1, 2012 TO: PENSION MEMBERS No. 14-12 BANK, TRUST AND RETIREMENT ADVISORY COMMITTEE No. 9-12 BROKER/DEALER ADVISORY COMMITTEE No. 12-12 TRANSFER AGENT ADVISORY COMMITTEE No. 12-12 RE: FAA MODERNIZATION ACT EXPANDS IRA ROLLOVER OPPORTUNITIES FOR AIRLINE EMPLOYEES WHO...

[25939] February 28, 2012 TO: BANK, TRUST AND RETIREMENT ADVISORY COMMITTEE No. 8-12 BROKER/DEALER ADVISORY COMMITTEE No. 11-12 TRANSFER AGENT ADVISORY COMMITTEE No. 11-12 PENSION MEMBERS No. 12-12 TAX MEMBERS No. 11-12 RE: DC REVISES MANDATORY RETIREMENT DISTRIBUTION WITHHOLDING LAW...

  [25938] February 27, 2012 TO: BROKER/DEALER ADVISORY COMMITTEE No. 10-12 RE: BDAC MEETING NOTICE - APRIL 25-26, 2012   The next meeting of the Broker/Dealer Advisory Committee will take place on Wednesday, April 25 and Thursday, April 26, 2012 at the offices of Fidelity Investments...

  [25935] February 24, 2012 TO: BROKER/DEALER ADVISORY COMMITTEE No. 9-12 RE: SIFMA'S INSTITUTIONAL CLIENT SUITABILITY CERTIFICATE   As you may recall, FINRA’s new suitability rule, FINRA Rule 2111, was approved by the SEC in 2011 with an effective date of July 9, 2012. [1] This rule...

[25897] February 14, 2012 TO: TAX MEMBERS No. 9-12 INTERNATIONAL MEMBERS No. 7-12 INTERNATIONAL OPERATIONS ADVISORY COMMITTEE No. 5-12 TRANSFER AGENT ADVISORY COMMITTEE No. 10-12 BROKER/DEALER ADVISORY COMMITTEE No. 8-12 RE: PROPOSED FATCA REGULATIONS - A SUMMARY INTRODUCTION The...

  [25883] February 8, 2012 TO: BDAC COST BASIS REPORTING TASK FORCE No. 2-12 BANK, TRUST AND RETIREMENT ADVISORY COMMITTEE No. 7-12 BROKER/DEALER ADVISORY COMMITTEE No. 6-12 OPERATIONS COMMITTEE No. 5-12 SMALL FUNDS COMMITTEE No. 3-12 TAX COMMITTEE No. 10-12 TRANSFER AGENT ADVISORY...

[25886] February 8, 2012 TO: TAX MEMBERS No. 7-12 INTERNATIONAL MEMBERS No. 5-12 INTERNATIONAL OPERATIONS ADVISORY COMMITTEE No. 3-12 TRANSFER AGENT ADVISORY COMMITTEE No. 9-12 BROKER/DEALER ADVISORY COMMITTEE No. 7-12 RE: PROPOSED FATCA REGULATIONS ISSUED; DETAILED ANALYSIS TO FOLLOW...

ACTION REQUESTED [25875] February 7, 2012 TO: PENSION COMMITTEE No. 6-12 PENSION OPERATIONS ADVISORY COMMITTEE No. 6-12 OPERATIONS COMMITTEE No. 4-12 BANK, TRUST AND RETIREMENT ADVISORY COMMITTEE No. 6-12 BROKER/DEALER ADVISORY COMMITTEE No. 5-12 TRANSFER AGENT ADVISORY COMMITTEE No...