Technology Content

  [21978]   November 28, 2007 TO: TECHNOLOGY COMMITTEE No. 29-07 RE: CYBER INCIDENTS SUSPECTED OF IMPACTING PRIVATE NETWORKS   The Institute has received an alert from the United States Computer Emergency Readiness Team (US-CERT) via the Financial Services Information Sharing and...

  [21632]   September 24, 2007 TO: TECHNOLOGY ADVISORY COMMITTEE No. 28-07 RE: INDICTMENT HANDED DOWN AGAINST "THE BISHOP" FOR SECURITIES FRAUD AND OTHER FEDERAL OFFENSES   On September 18, 2007, John Tomkins, a/k/a “The Bishop” (the “Defendant”) was indicted by the U.S. District...

  [21595]   September 17, 2007 TO: TECHNOLOGY ADVISORY COMMITTEE No. 27-07 RE: TAC MEETING - OCTOBER 17, 2007   The next meeting of the Technology Advisory Committee will take place on Wednesday, October 17, 2007 at The Grand Hyatt, 1000 H Street, NW, Washington, DC, in room...

[21553]   August 31, 2007 TO: SEC RULES MEMBERS No. 115-07 COMPLIANCE MEMBERS No. 51-07 TRANSFER AGENT ADVISORY COMMITTEE No. 56-07 PRIVACY ISSUES WORKING GROUP No. 8-07 TECHNOLOGY ADVISORY COMMITTEE No. 26-07 RE: SEC ENFORCEMENT PROCEEDING AGAINST BROKER-DEALER FOR ALLEGED VIOLATIONS...

[21537]   August 28, 2007 TO: OPERATIONS MEMBERS No. 15-07 BROKER/DEALER ADVISORY COMMITTEE No. 52-07 BANK, TRUST AND RECORDKEEPER ADVISORY COMMITTEE No. 32-07 COMPLIANCE ADVISORY COMMITTEE No. 18-07 PENSION OPERATIONS ADVISORY COMMITTEE No. 25-07 INTERNATIONAL OPERATIONS ADVISORY...

[21492]   August 15, 2007 TO: TECHNOLOGY ADVISORY COMMITTEE No. 24-07 RE: TAC MEETING NOTICE - OCTOBER 17, 2007   The next meeting of the Technology Advisory Committee will take place on Wednesday, October 17th, in Room Constitution A of The Grand Hyatt, located at 1000 H Street, NW...

[21460]   August 10, 2007 TO: COMPLIANCE MEMBERS No. 45-07 PRIVACY ISSUES WORKING GROUP No. 6-07 SMALL FUNDS MEMBERS No. 73-07 TECHNOLOGY ADVISORY COMMITTEE No. 23-07 RE: FEDERAL WEBSITE WITH HELPFUL INFORMATION/TIPS ON COMPUTER SECURITY   The Federal Trade Commission has partnered...

    [21378]   July 20, 2007 TO: BOARD OF GOVERNORS No. 19-07 BANK, TRUST AND RECORDKEEPER ADVISORY COMMITTEE No. 22-07 BROKER/DEALER ADVISORY COMMITTEE No. 38-07 OPERATIONS MEMBERS No. 12-07 SEC RULES MEMBERS No. 89-07 SMALL FUNDS MEMBERS No. 58-07 TAX MEMBERS No. 30-07 TECHNOLOGY...

    [21363]   July 16, 2007 TO: SEC RULES MEMBERS No. 83-07 ACCOUNTING/TREASURERS MEMBERS No. 22-07 TECHNOLOGY ADVISORY COMMITTEE No. 21-07 SMALL FUNDS MEMBERS No. 55-07 XBRL WORKING GROUP RE: SEC EXTENDS INTERACTIVE DATA VOLUNTARY REPORTING PROGRAM ON THE EDGAR SYSTEM TO INCLUDE...

    [21355]   July 12, 2007 TO: SEC RULES MEMBERS No. 82-07 TECHNOLOGY ADVISORY COMMITTEE No. 20-07 COMPLIANCE MEMBERS No. 34-07 BROKER/DEALER ADVISORY COMMITTEE No. 33-07 SMALL FUNDS MEMBERS No. 54-07 RE: INSTITUTE COMMENT LETTER ON NASD/NYSE PROPOSED GUIDANCE RELATING TO THE...