Broker/Dealer Advisory Content

  [25431] August 23, 2011 TO: BROKER/DEALER ADVISORY COMMITTEE No. 52-11 RE: BDAC MEETING NOTICE - OCTOBER 25-26, 2011   The next meeting of the Broker/Dealer Advisory Committee will take place on Tuesday, October 25 and Wednesday, October 26, 2011 at the Hyatt Regency Huntington...

    [25422]   August 18, 2011 TO: BDAC COST BASIS REPORTING TASK FORCE No. 22-11 BROKER/DEALER ADVISORY COMMITTEE No. 50-11 BANK, TRUST AND RECORDKEEPER ADVISORY COMMITTEE No. 48-11 OPERATIONS COMMITTEE No. 30-11 SMALL FUNDS COMMITTEE No. 32-11 TAX COMMITTEE No. 51-11 TRANSFER AGENT...

  [25423] August 18, 2011 TO: BROKER/DEALER ADVISORY COMMITTEE No. 51-11 TRANSFER AGENT ADVISORY COMMITTEE No. 68-11 RE: UPDATE ON FINRA PROPOSAL TO REQUIRE THE ISSUANCE OF MONTHLY ACCOUNT STATEMENTS   As you may recall, in May 2009, FINRA proposed a new rule, Rule 2231, relating to...

  [25420] August 17, 2011 TO: BROKER/DEALER ADVISORY COMMITTEE No. 49-11 BANK, TRUST AND RECORDKEEPER ADVISORY COMMITTEE No. 47-11 RE: ICI SUBMISSION TO SEC STAFF REQUESTING AN EXTENSION OF THE COMPLIANCE DATE FOR PAY-TO-PLAY RECORDKEEPING REQUIREMENTS   As you may know, since last...

    [25399]   August 9, 2011 TO: BROKER/DEALER ADVISORY COMMITTEE No. 48-11 BANK, TRUST AND RECORDKEEPER ADVISORY COMMITTEE No. 46-11 RE: SEC PAY-TO-PLAY RULE - SUGGESTED PROCESS FOR COMPILING LIST OF GOVERNMENT ENTITIES AND TEMPLATE FOR INFORMATION REQUESTS TO INTERMEDIARIES   As you...

  ACTION REQUESTED [25387] August 5, 2011 TO: BANK, TRUST AND RECORDKEEPER ADVISORY COMMITTEE No. 45-11 BROKER/DEALER ADVISORY COMMITTEE No. 47-11 TRANSFER AGENT ADVISORY COMMITTEE No. 64-11 RE: REQUEST FOR COST INFORMATION ASSOCIATED WITH LOST AND MISSING SECURITY HOLDERS; INPUT...

[25374] August 2, 2011 TO: BROKER/DEALER ADVISORY COMMITTEE No. 46-11 CLOSED-END INVESTMENT COMPANY MEMBERS No. 64-11 COMPLIANCE MEMBERS No. 34-11 INTERNAL SALES MANAGERS ROUNDTABLE No. 3-11 SEC RULES MEMBERS No. 97-11 SALES FORCE MARKETING COMMITTEE No. 4-11 SMALL FUNDS MEMBERS No...

[25364] July 28, 2011 TO: BDAC COST BASIS REPORTING TASK FORCE No. 21-11 BANK, TRUST AND RECORDKEEPER ADVISORY COMMITTEE No. 44-11 BROKER/DEALER ADVISORY COMMITTEE No. 45-11 OPERATIONS MEMBERS No. 15-11 SMALL FUNDS MEMBERS No. 53-11 TAX MEMBERS No. 25-11 TRANSFER AGENT ADVISORY...

  [25359] July 28, 2011 TO: BDAC COST BASIS REPORTING TASK FORCE No. 20-11 BANK, TRUST AND RECORDKEEPER ADVISORY COMMITTEE No. 43-11 BROKER/DEALER ADVISORY COMMITTEE No. 44-11 OPERATIONS COMMITTEE No. 27-11 SMALL FUNDS COMMITTEE No. 29-11 TAX COMMITTEE No. 46-11 TRANSFER AGENT...

[25334] July 14, 2011 TO: BDAC COST BASIS REPORTING TASK FORCE No. 19-11 BANK, TRUST AND RECORDKEEPER ADVISORY COMMITTEE No. 42-11 BROKER/DEALER ADVISORY COMMITTEE No. 43-11 OPERATIONS COMMITTEE No. 25-11 SMALL FUNDS COMMITTEE No. 27-11 TAX COMMITTEE No. 43-11 TRANSFER AGENT ADVISORY...