Broker/Dealer Advisory Content

    [23574]   June 22, 2009 TO: BANK, TRUST AND RECORDKEEPER ADVISORY COMMITTEE No. 26-09 BROKER/DEALER ADVISORY COMMITTEE No. 34-09 OPERATIONS COMMITTEE No. 12-09 TRANSFER AGENT ADVISORY COMMITTEE No. 46-09     RE: ADMINISTRATION PLAN FOR FINANCIAL SERVICES REGULATORY REFORM   On...

    [23568]   June 19, 2009 TO: SEC RULES COMMITTEE No. 39-09 SMALL FUNDS COMMITTEE No. 11-09 BROKER/DEALER ADVISORY COMMITTEE No. 33-09 ETF ADVISORY COMMITTEE No. 17-09     RE: FINRA PROPOSES CHANGES TO THE NASD'S COMPENSATION RULE AS PART OF ITS RULE CONSOLIDATION PROCESS; CALL TO...

    [23563]   June 19, 2009 TO: FEDERAL LEGISLATION MEMBERS No. 4-09 BANK, TRUST AND RECORDKEEPER ADVISORY COMMITTEE No. 24-09 BROKER/DEALER ADVISORY COMMITTEE No. 31-09 OPERATIONS COMMITTEE No. 10-09     RE: SUBCOMMITTEE OF HOUSE EDUCATION AND LABOR COMMITTEE APPROVES FEE DISCLOSURE...

    [23564]   June 19, 2009 TO: PENSION MEMBERS No. 28-09 FEDERAL LEGISLATION MEMBERS No. 5-09 BANK, TRUST AND RECORDKEEPER ADVISORY COMMITTEE No. 25-09 BROKER/DEALER ADVISORY COMMITTEE No. 32-09 OPERATIONS COMMITTEE No. 11-09     RE: REP. NEAL REINTRODUCES DEFINED CONTRIBUTION PLAN...

    [23547]   June 15, 2009 TO: BROKER/DEALER ADVISORY COMMITTEE No. 30-09 OPERATIONS COMMITTEE No. 9-09 TRANSFER AGENT ADVISORY COMMITTEE No. 45-09     RE: NEW MUTUAL FUND QUOTATION SERVICE DEADLINE - 8:00 P.M.   Effective November 16, 2009, the deadline for transmission of daily...

    [23542]   June 12, 2009 TO: BROKER/DEALER ADVISORY COMMITTEE No. 29-09 COMPLIANCE MEMBERS No. 32-09 ETF ADVISORY COMMITTEE No. 13-09 EXCHANGE-TRADED FUNDS (ETF) COMMITTEE No. 2-09 INTERNATIONAL COMMITTEE No. 8-09     RE: FINRA REMINDS FIRMS OF SUITABILITY OBLIGATIONS RELATING TO...

    [23521]   June 11, 2009 TO: TRANSFER AGENT ADVISORY COMMITTEE No. 43-09 BROKER/DEALER ADVISORY COMMITTEE No. 28-09 COMPLIANCE MEMBERS No. 30-09     RE: ICI COMMENTS ON FINRA PROPOSAL TO REQUIRE MEMBERS TO SEND ACCOUNT STATEMENTS MONTHLY RATHER THAN QUARTERLY   As we previously...

    [23520]   June 10, 2009 TO: BROKER/DEALER ADVISORY COMMITTEE No. 27-09 CHIEF COMPLIANCE OFFICER COMMITTEE No. 10-09 EQUITY MARKETS ADVISORY COMMITTEE No. 22-09 SEC RULES COMMITTEE No. 31-09     RE: FINRA REPROPOSES RULE ADDRESSING THE CIRCULATION OF RUMORS   As you know, last...

    [23502]   May 29, 2009 TO: BROKER/DEALER ADVISORY COMMITTEE No. 26-09     RE: BDAC MEETING NOTICE - JULY 15-16, 2009 AND COST BASIS REPORTING TASK FORCE MEETINGS JULY 14-15   The next meeting of the Broker/Dealer Advisory Committee will be held on Wednesday, July 15 and Thursday...

    [23476]   May 21, 2009 TO: TRANSFER AGENT ADVISORY COMMITTEE No. 36-09 BROKER/DEALER ADVISORY COMMITTEE No. 25-09 COMPLIANCE MEMBERS No. 26-09     RE: FINRA PROPOSES REVISIONS TO THE NASD'S SUITABILITY AND "KNOW YOUR CUSTOMER" RULES   As part of its process to consolidate the NASD...