Broker/Dealer Advisory Content

    [23283]   March 2, 2009 TO: BROKER/DEALER ADVISORY COMMITTEE No. 14-09     RE: BDAC MEETING NOTICE - APRIL 22-23, 2009 AND TASK FORCE MEETINGS APRIL 21 & 22   The next meeting of the Broker/Dealer Advisory Committee will take place on Wednesday, April 22 and Thursday, April 23...

    [23274]   February 25, 2009 TO: PENSION MEMBERS No. 12-09 FEDERAL LEGISLATION MEMBERS No. 1-09 BANK, TRUST AND RECORDKEEPER ADVISORY COMMITTEE No. 11-09 BROKER/DEALER ADVISORY COMMITTEE No. 13-09 OPERATIONS COMMITTEE No. 4-09     RE: ICI TESTIMONY TO HOUSE EDUCATION AND LABOR...

[23271]   February 24, 2009 TO: BANK, TRUST AND RECORDKEEPER ADVISORY COMMITTEE No. 10-09 BROKER/DEALER ADVISORY COMMITTEE No. 12-09 COMPLIANCE MEMBERS No. 12-09 OPERATIONS MEMBERS No. 7-09 PENSION MEMBERS No. 11-09 SEC RULES MEMBERS No. 21-09 TRANSFER AGENT ADVISORY COMMITTEE No. 21...

    [23269]   February 23, 2009 TO: BANK, TRUST AND RECORDKEEPER ADVISORY COMMITTEE No. 9-09 BROKER/DEALER ADVISORY COMMITTEE No. 11-09 COMPLIANCE MEMBERS No. 11-09 OPERATIONS MEMBERS No. 6-09 PRIMARY CONTACTS - MEMBER COMPLEX No. 3-09 PRIVACY ISSUES WORKING GROUP No. 2-09 SEC RULES...

    [23265]   February 20, 2009 TO: BANK, TRUST AND RECORDKEEPER ADVISORY COMMITTEE No. 6-09 BROKER/DEALER ADVISORY COMMITTEE No. 8-09 CHIEF COMPLIANCE OFFICER COMMITTEE No. 4-09 COMPLIANCE ADVISORY COMMITTEE No. 1-09 SEC RULES COMMITTEE No. 7-09 TRANSFER AGENT ADVISORY COMMITTEE No...

    [23268]   February 20, 2009 TO: BANK, TRUST AND RECORDKEEPER ADVISORY COMMITTEE No. 8-09 BROKER/DEALER ADVISORY COMMITTEE No. 10-09 CHIEF COMPLIANCE OFFICER COMMITTEE No. 5-09 COMPLIANCE ADVISORY COMMITTEE No. 2-09 OPERATIONS COMMITTEE No. 3-09 SEC RULES COMMITTEE No. 8-09...

[23267]   February 20, 2009 TO: BANK, TRUST AND RECORDKEEPER ADVISORY COMMITTEE No. 7-09 BROKER/DEALER ADVISORY COMMITTEE No. 9-09 COMPLIANCE MEMBERS No. 10-09 OPERATIONS MEMBERS No. 5-09 SEC RULES MEMBERS No. 19-09 TRANSFER AGENT ADVISORY COMMITTEE No. 18-09 RE: RECEIVER FOR STANFORD...

    [23262]   February 19, 2009 TO: BROKER/DEALER ADVISORY COMMITTEE No. 7-09 COMPLIANCE MEMBERS No. 9-09 SEC RULES MEMBERS No. 18-09 SMALL FUNDS MEMBERS No. 13-09 UNIT INVESTMENT TRUST MEMBERS No. 1-09     RE: FINRA FINES BROKER-DEALER FIRMS FOR FAILURES RELATING TO UIT AND MUTUAL...

    [23229]   February 3, 2009 TO: BROKER/DEALER ADVISORY COMMITTEE No. 6-09 CLOSED-END INVESTMENT COMPANY MEMBERS No. 8-09 PENSION MEMBERS No. 8-09 PENSION OPERATIONS ADVISORY COMMITTEE No. 4-09 SEC RULES MEMBERS No. 12-09 SMALL FUNDS MEMBERS No. 9-09 TRANSFER AGENT ADVISORY...

    [23194]   January 21, 2009 TO: ACCOUNTING/TREASURERS MEMBERS No. 7-09 BROKER/DEALER ADVISORY COMMITTEE No. 4-09 CLOSED-END INVESTMENT COMPANY MEMBERS No. 4-09 SEC RULES MEMBERS No. 6-09 SMALL FUNDS MEMBERS No. 5-09 TRANSFER AGENT ADVISORY COMMITTEE No. 6-09     RE: FUND ADVISER...