Technology Content

[27476] August 19, 2013 TO: TECHNOLOGY COMMITTEE No. 8-13 COMPLIANCE MEMBERS No. 33-13 SMALL FUNDS MEMBERS No. 46-13 INVESTMENT ADVISER MEMBERS No. 58-13 RE: SEC, FINRA, AND CFTC ISSUE STAFF ADVISORY AND BEST PRACTICES RELATING TO REGISTRANTS' BUSINESS CONTINUITY PLANNING The SEC...

[27280] June 6, 2013 TO: TECHNOLOGY COMMITTEE No. 7-13 RE: TECHNOLOGY COMMITTEE MEETING - HOTEL DEADLINE & AGENDA HIGHLIGHTS - JULY 25 & 26, 2013   The next meeting of the Technology Committee will take place on Thursday and Friday July 25 & 26, 2013 at the Investment Company...

[27237] May 13, 2013 TO: TECHNOLOGY COMMITTEE No. 6-13 RE: TECHNOLOGY COMMITTEE MEETING - HOTEL & REGISTRATION - JULY 25 & 26, 2013   The next meeting of the Technology Committee will take place on Thursday and Friday July 25 & 26, 2013 at the Investment Company Institute, 1401 H...

[27003] February 12, 2013 TO: TECHNOLOGY COMMITTEE No. 5-13 RE: TECHNOLOGY COMMITTEE MEETING - REGISTRATION & DINNER - MARCH 7 & 8, 2013   The next meeting of the Technology Committee will take place on Thursday and Friday March 7 & 8, 2013 in San Mateo, CA.  The meeting will take...

[26969] February 5, 2013 TO: COMPLIANCE MEMBERS No. 9-13 PRIVACY ISSUES WORKING GROUP No. 4-13 SEC RULES MEMBERS No. 17-13 SMALL FUNDS MEMBERS No. 11-13 TECHNOLOGY COMMITTEE No. 4-13 RE: CONGRESS CLOSES LOOPHOLE THAT KEPT FORMER EMPLOYEE FROM BEING CRIMINALLY LIABLE FOR THEFT OF...

[26929] January 18, 2013 TO: TECHNOLOGY COMMITTEE No. 3-13 RE: TECHNOLOGY COMMITTEE MEETING - REGISTRATION - MARCH 7 & 8, 2013   The next meeting of the Technology Committee will take place on Thursday and Friday March 7 & 8, 2013 in San Mateo, CA.  The meeting will take place at...

[26860] January 11, 2013 TO: ADVERTISING COMPLIANCE ADVISORY COMMITTEE No. 3-13 PRIVACY ISSUES WORKING GROUP No. 3-13 SMALL FUNDS MEMBERS No. 4-13 TECHNOLOGY COMMITTEE No. 2-13 RE: ASSOCIATION LETTER CRITICIZES CALIFORNIA ATTORNEY GENERAL FOR FAILED PROCESS IN DEVELOPING...

[26857] January 10, 2013 TO: PRIVACY ISSUES WORKING GROUP No. 2-13 COMPLIANCE MEMBERS No. 2-13 ADVERTISING COMPLIANCE ADVISORY COMMITTEE No. 2-13 SMALL FUNDS MEMBERS No. 3-13 TECHNOLOGY COMMITTEE No. 1-13 RE: CALIFORNIA ATTORNEY GENERAL PUBLISHES RECOMMENDATIONS FOR DEVELOPERS OF...

[26751] December 11, 2012 TO: TECHNOLOGY COMMITTEE No. 15-12 RE: TECHNOLOGY COMMITTEE MEETINGS - SAVE THE DATES - MARCH & JULY 2013   In order for Committee members to plan accordingly the next two meeting dates and locations appear below.  Please mark your calendar. TECHNOLOGY...

  [26680] November 13, 2012 TO: PRIVACY ISSUES WORKING GROUP No. 2-12 COMPLIANCE MEMBERS No. 21-12 SMALL FUNDS MEMBERS No. 37-12 ADVERTISING COMPLIANCE ADVISORY COMMITTEE No. 21-12 TECHNOLOGY COMMITTEE No. 14-12 RE: CALIFORNIA ALERTING MOBILE APPLICATION DEVELOPERS TO POTENTIAL...