Broker/Dealer Advisory Content

    [23197]   January 21, 2009 TO: ACCOUNTING/TREASURERS COMMITTEE No. 2-09 BANK, TRUST AND RECORDKEEPER ADVISORY COMMITTEE No. 2-09 BOARD OF GOVERNORS No. 2-09 BROKER/DEALER ADVISORY COMMITTEE No. 5-09 ETF ADVISORY COMMITTEE No. 1-09 EXCHANGE-TRADED FUNDS (ETF) COMMITTEE No. 1-09...

    [23185]   January 15, 2009 TO: BROKER/DEALER ADVISORY COMMITTEE No. 3-09 CHIEF COMPLIANCE OFFICER COMMITTEE No. 2-09 SEC RULES COMMITTEE No. 2-09     RE: INSTITUTE COMMENTS ON FINRA PROPOSED SELF-REPORTING RULE   As part of its activities to better align the rules of the NASD and...

    [23178]   January 12, 2009 TO: TAX MEMBERS No. 2-09 OPERATIONS MEMBERS No. 1-09 ACCOUNTING/TREASURERS MEMBERS No. 4-09 CLOSED-END INVESTMENT COMPANY MEMBERS No. 2-09 TRANSFER AGENT ADVISORY COMMITTEE No. 5-09 BANK, TRUST AND RECORDKEEPER ADVISORY COMMITTEE No. 1-09 BROKER/DEALER...

    [23160]   January 6, 2009 TO: COMPLIANCE MEMBERS No. 1-09 AML COMPLIANCE WORKING GROUP No. 1-09 BROKER/DEALER ADVISORY COMMITTEE No. 1-09 SEC RULES MEMBERS No. 1-09 SMALL FUNDS MEMBERS No. 2-09 OPERATIONS COMMITTEE No. 1-09 TRANSFER AGENT ADVISORY COMMITTEE No. 2-09     RE: FINRA...

    [23155]   December 31, 2008 TO: BANK, TRUST AND RECORDKEEPER ADVISORY COMMITTEE No. 41-08 BROKER/DEALER ADVISORY COMMITTEE No. 52-08 OPERATIONS COMMITTEE No. 23-08 SMALL FUNDS COMMITTEE No. 32-08 TRANSFER AGENT ADVISORY COMMITTEE No. 73-08 CHIEF COMPLIANCE OFFICER COMMITTEE No. 24...

    [23136]   December 19, 2008 TO: BROKER/DEALER ADVISORY COMMITTEE No. 49-08 CHIEF COMPLIANCE OFFICER COMMITTEE No. 23-08 EQUITY MARKETS ADVISORY COMMITTEE No. 67-08 SEC RULES MEMBERS No. 143-08     RE: ICI LETTER ON PROPOSED FINRA RULE ADDRESSING THE CIRCULATION OF RUMORS   As part...

    [23139]   December 19, 2008 TO: PENSION MEMBERS No. 81-08 TAX COMMITTEE No. 38-08 BANK, TRUST AND RECORDKEEPER ADVISORY COMMITTEE No. 39-08 BROKER/DEALER ADVISORY COMMITTEE No. 50-08 RESEARCH COMMITTEE No. 10-08 SEC RULES COMMITTEE No. 91-08 FEDERAL LEGISLATION MEMBERS No. 19-08  ...

    [23140]   December 19, 2008 TO: BANK, TRUST AND RECORDKEEPER ADVISORY COMMITTEE No. 40-08 BROKER/DEALER ADVISORY COMMITTEE No. 51-08 COMPLIANCE MEMBERS No. 68-08 OPERATIONS MEMBERS No. 26-08 PRIVACY ISSUES WORKING GROUP No. 19-08 SMALL FUNDS MEMBERS No. 75-08 TRANSFER AGENT...

    [23133]   December 18, 2008 TO: BROKER/DEALER ADVISORY COMMITTEE No. 48-08 CLOSED-END INVESTMENT COMPANY MEMBERS No. 65-08 COMPLIANCE MEMBERS No. 66-08 SEC RULES MEMBERS No. 142-08 SMALL FUNDS MEMBERS No. 73-08     RE: FEDERAL APPEALS COURT REVERSES DISMISSAL OF SEC ACTION AGAINST...

    [23122]   December 12, 2008 TO: BROKER/DEALER ADVISORY COMMITTEE No. 47-08 CHIEF COMPLIANCE OFFICER COMMITTEE No. 22-08 EQUITY MARKETS ADVISORY COMMITTEE No. 65-08 SEC RULES COMMITTEE No. 88-08     RE: DRAFT ICI LETTER ON PROPOSED FINRA RULE ADDRESSING  THE CIRCULATION OF RUMORS  ...