Broker/Dealer Advisory Content

    [23119]   December 10, 2008 TO: BROKER/DEALER ADVISORY COMMITTEE No. 46-08     RE: MARK YOUR CALENDARS - REVISED BDAC 2009 MEETING SCHEDULE   The Broker/Dealer Advisory Committee 2009 meeting schedule has been modified due to changes in the ICI’s Operations and Technology...

    [23113]   December 9, 2008 TO: BROKER/DEALER ADVISORY COMMITTEE No. 45-08     RE: BDAC MEETING NOTICE - FEBRUARY 3-4, 2009   The next meeting of the Broker/Dealer Advisory Committee will be held on Tuesday, February 3 and Wednesday, February 4, 2009 at the offices of LPL Financial...

[23091] November 26, 2008 TO: BROKER/DEALER ADVISORY COMMITTEE No. 44-08 CHIEF COMPLIANCE OFFICER COMMITTEE No. 20-08 EQUITY MARKETS ADVISORY COMMITTEE No. 62-08 SEC RULES COMMITTEE No. 84-08 RE: FINRA PROPOSES RULE ADDRESSING THE CIRCULATION OF RUMORS As part of the process of...

    [23075]   November 19, 2008 TO: ACCOUNTING/TREASURERS COMMITTEE No. 18-08 BANK, TRUST AND RECORDKEEPER ADVISORY COMMITTEE No. 37-08 BOARD OF GOVERNORS No. 14-08 BROKER/DEALER ADVISORY COMMITTEE No. 43-08 ETF ADVISORY COMMITTEE No. 35-08 INVESTMENT COMPANY DIRECTORS No. 25-08...

    [23069]   November 17, 2008 TO: TAX MEMBERS No. 47-08 OPERATIONS MEMBERS No. 24-08 TRANSFER AGENT ADVISORY COMMITTEE No. 67-08 BANK, TRUST AND RECORDKEEPER ADVISORY COMMITTEE No. 36-08 BROKER/DEALER ADVISORY COMMITTEE No. 42-08     RE: JOINT ICI/SIFMA LETTER ON FEBRUARY 15 TAX...

[23048] November 5, 2008 TO: BROKER/DEALER ADVISORY COMMITTEE No. 41-08 RE: BDAC 529 PLAN PROCESSING SURVEY RESULTS The Broker/Dealer Advisory Committee established a 529 Plan Task Force, chaired by Steve Cutka of American Funds, to enhance the NSCC Networking and Fund/SERV systems to...

    [23031]   October 27, 2008 TO: BANK, TRUST AND RECORDKEEPER ADVISORY COMMITTEE No. 34-08 BROKER/DEALER ADVISORY COMMITTEE No. 40-08 COMPLIANCE MEMBERS No. 59-08 OPERATIONS MEMBERS No. 22-08 PRIMARY CONTACTS - MEMBER COMPLEX No. 16-08 PRIVACY ISSUES WORKING GROUP No. 16-08 SEC...

    [23010]   October 22, 2008 TO: PENSION MEMBERS No. 69-08 FEDERAL LEGISLATION MEMBERS No. 15-08 BANK, TRUST AND RECORDKEEPER ADVISORY COMMITTEE No. 32-08 BROKER/DEALER ADVISORY COMMITTEE No. 38-08 OPERATIONS COMMITTEE No. 20-08     RE: ICI STATEMENT FOR HOUSE EDUCATION AND LABOR...

    [23012]               URGENT              October 22, 2008 TO: BANK, TRUST AND RECORDKEEPER ADVISORY COMMITTEE No. 33-08 BROKER/DEALER ADVISORY COMMITTEE No. 39-08 COMPLIANCE MEMBERS No. 56-08 OPERATIONS MEMBERS No. 20-08 PRIMARY CONTACTS - MEMBER COMPLEX No. 14-08 PRIVACY ISSUES...

    [22960]   October 3, 2008 TO: SEC RULES COMMITTEE No. 70-08 INTERNATIONAL COMMITTEE No. 26-08 SMALL FUNDS COMMITTEE No. 26-08 BROKER/DEALER ADVISORY COMMITTEE No. 36-08 TRANSFER AGENT ADVISORY COMMITTEE No. 58-08     RE: INSTITUTE LETTER ON IOSCO POINT OF SALE ISSUES PAPER   As we...