Broker/Dealer Advisory Content

  [25601] October 31, 2011 TO: BANK, TRUST AND RETIREMENT ADVISORY COMMITTEE No. 65-11 BROKER/DEALER ADVISORY COMMITTEE No. 71-11 RE: DOL ISSUES FINAL PPA INVESTMENT ADVICE RULE   The Department of Labor adopted a final rule [1] implementing the investment advice provisions of the...

[25598] October 28, 2011 TO: SEC RULES COMMITTEE No. 92-11 BROKER/DEALER ADVISORY COMMITTEE No. 70-11 COMPLIANCE MEMBERS No. 42-11 RE: SEC ORDERS FINRA TO CEASE AND DESIST FROM VIOLATING THE RECORDKEEPING REQUIREMENTS UNDER THE 1934 ACT   The Securities and Exchange Commission...

    [25592]   October 27, 2011 TO: BDAC COST BASIS REPORTING TASK FORCE No. 32-11 BANK, TRUST AND RETIREMENT ADVISORY COMMITTEE No. 64-11 BROKER/DEALER ADVISORY COMMITTEE No. 69-11 OPERATIONS COMMITTEE No. 43-11 SMALL FUNDS COMMITTEE No. 46-11 TAX COMMITTEE No. 67-11 TRANSFER AGENT...

  [25585] October 25, 2011 TO: BDAC COST BASIS REPORTING TASK FORCE No. 31-11 BANK, TRUST AND RETIREMENT ADVISORY COMMITTEE No. 63-11 BROKER/DEALER ADVISORY COMMITTEE No. 68-11 OPERATIONS COMMITTEE No. 42-11 SMALL FUNDS COMMITTEE No. 45-11 TAX COMMITTEE No. 65-11 TRANSFER AGENT...

[25575] October 21, 2011 TO: OPERATIONS COMMITTEE No. 41-11 TRANSFER AGENT ADVISORY COMMITTEE No. 88-11 BANK, TRUST AND RETIREMENT ADVISORY COMMITTEE No. 62-11 BROKER/DEALER ADVISORY COMMITTEE No. 67-11 BDAC COST BASIS REPORTING TASK FORCE No. 30-11 SMALL FUNDS COMMITTEE No. 43-11 TAX...

[25572] October 20, 2011 TO: TAX COMMITTEE No. 63-11 TRANSFER AGENT ADVISORY COMMITTEE No. 87-11 BANK, TRUST AND RETIREMENT ADVISORY COMMITTEE No. 61-11 BROKER/DEALER ADVISORY COMMITTEE No. 66-11 OPERATIONS COMMITTEE No. 40-11 SMALL FUNDS COMMITTEE No. 42-11 PENSION COMMITTEE No. 29...

[25567] October 19, 2011 TO: BANK, TRUST AND RETIREMENT ADVISORY COMMITTEE No. 60-11 BROKER/DEALER ADVISORY COMMITTEE No. 65-11 OPERATIONS COMMITTEE No. 39-11 TRANSFER AGENT ADVISORY COMMITTEE No. 85-11 ACCOUNTING/TREASURERS COMMITTEE No. 15-11 RE: FSOC SUBMITS FIRST ANNUAL REPORT TO...

[25555] October 13, 2011 TO: BDAC COST BASIS REPORTING TASK FORCE No. 28-11 BANK, TRUST AND RETIREMENT ADVISORY COMMITTEE No. 59-11 BROKER/DEALER ADVISORY COMMITTEE No. 64-11 OPERATIONS COMMITTEE No. 38-11 SMALL FUNDS COMMITTEE No. 40-11 TAX COMMITTEE No. 62-11 TRANSFER AGENT ADVISORY...

[25544] October 6, 2011 TO: BROKER/DEALER ADVISORY COMMITTEE No. 63-11 COMPLIANCE MEMBERS No. 41-11 SEC RULES MEMBERS No. 118-11 RE: US COURT OF APPEALS HOLDS THAT FINRA LACKS AUTHORITY TO BRING COURT ACTIONS TO ENFORCE ITS FINES   The U.S. Court of Appeals held in a decision issued...

[25521] September 29, 2011 TO: BDAC COST BASIS REPORTING TASK FORCE No. 27-11 BANK, TRUST AND RETIREMENT ADVISORY COMMITTEE No. 58-11 BROKER/DEALER ADVISORY COMMITTEE No. 62-11 OPERATIONS COMMITTEE No. 37-11 SMALL FUNDS COMMITTEE No. 39-11 TAX COMMITTEE No. 61-11 TRANSFER AGENT...