Broker/Dealer Advisory Content

    [23686]   August 7, 2009 TO: SEC RULES MEMBERS No. 86-09 SMALL FUNDS MEMBERS No. 47-09 COMPLIANCE MEMBERS No. 37-09 CLOSED-END INVESTMENT COMPANY MEMBERS No. 31-09 INVESTMENT ADVISER MEMBERS No. 13-09 UNIT INVESTMENT TRUST MEMBERS No. 6-09 PRIVACY ISSUES WORKING GROUP No. 8-09...

    [23676]   August 4, 2009 TO: SEC RULES MEMBERS No. 83-09 SMALL FUNDS MEMBERS No. 46-09 BROKER/DEALER ADVISORY COMMITTEE No. 43-09 ETF ADVISORY COMMITTEE No. 25-09     RE: INSTITUTE COMMENT LETTER ON FINRA’S PROPOSED COMPENSATION RULE AMENDMENTS   As we previously informed you, [1]...

    [23674]   August 3, 2009 TO: OPERATIONS MEMBERS No. 15-09 BANK, TRUST AND RECORDKEEPER ADVISORY COMMITTEE No. 30-09 BROKER/DEALER ADVISORY COMMITTEE No. 42-09 INTERNATIONAL OPERATIONS ADVISORY COMMITTEE No. 12-09 TECHNOLOGY COMMITTEE No. 15-09 TRANSFER AGENT ADVISORY COMMITTEE No...

    [23654]   July 27, 2009 TO: TAX COMMITTEE No. 19-09 TRANSFER AGENT ADVISORY COMMITTEE No. 51-09 BANK, TRUST AND RECORDKEEPER ADVISORY COMMITTEE No. 29-09 BROKER/DEALER ADVISORY COMMITTEE No. 41-09     RE: DRAFT 2009 YEAR-END REPORTING LAYOUTS AND TARGET DELIVERY DATE   Attached...

    [23635]   July 17, 2009 TO: SEC RULES COMMITTEE No. 43-09 SMALL FUNDS COMMITTEE No. 13-09 BROKER/DEALER ADVISORY COMMITTEE No. 40-09 ETF ADVISORY COMMITTEE No. 22-09     RE: INSTITUTE DRAFT COMMENT LETTER ON FINRA'S PROPOSED COMPENSATION RULE AMENDMENTS; FEEDBACK REQUESTED BY JULY...

[23604]   July 2, 2009 TO: ACCOUNTING/TREASURERS MEMBERS No. 30-09 BANK, TRUST AND RECORDKEEPER ADVISORY COMMITTEE No. 27-09 BOARD OF GOVERNORS No. 6-09 BROKER/DEALER ADVISORY COMMITTEE No. 38-09 INVESTMENT COMPANY DIRECTORS No. 18-09 MONEY MARKET FUNDS ADVISORY COMMITTEE No. 25-09...

    [23605]   July 2, 2009 TO: PENSION MEMBERS No. 33-09 FEDERAL LEGISLATION MEMBERS No. 7-09 BANK, TRUST AND RECORDKEEPER ADVISORY COMMITTEE No. 28-09 BROKER/DEALER ADVISORY COMMITTEE No. 39-09 OPERATIONS COMMITTEE No. 13-09     RE: HOUSE EDUCATION AND LABOR COMMITTEE APPROVES FEE...

    [23601]   July 1, 2009 TO: VARIABLE INSURANCE PRODUCTS ADVISORY COMMITTEE No. 13-09 BROKER/DEALER ADVISORY COMMITTEE No. 37-09     RE: SEC FILES ACTION AGAINST BROKER-DEALER FOR UNSUITABLE SALES OF VARIABLE ANNUITIES   The Securities and Exchange Commission instituted an...

    [23590]   June 29, 2009 TO: BROKER/DEALER ADVISORY COMMITTEE No. 35-09     RE: MARK YOUR CALENDARS - REVISED OCTOBER 2009 MEETING DATES   The Broker/Dealer Advisory Committee’s October 14-15, 2009 meeting dates have been changed due to lack of hotel room availability.  Please mark...

    [23591]   June 29, 2009 TO: TRANSFER AGENT ADVISORY COMMITTEE No. 47-09 BROKER/DEALER ADVISORY COMMITTEE No. 36-09 COMPLIANCE MEMBERS No. 33-09     RE: INSTITUTE FILES COMMENT LETTER ON FINRA'S PROPOSED REVISIONS TO THE NASD'S SUITABILITY AND "KNOW YOUR CUSTOMER" RULES   As we...