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VIA ELECTRONIC MAIL February 12, 2015 SEC Investor Advisory Committee c/o Brent J. Fields Secretary, Securities and Exchange Commission 100 F Street, NE
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Document Date: 2015-02-11 18:37:02

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City

Washington / D.C. / /

Company

FSI / Duplicative Data Systems / Trust & Clearing Corporation / Financial Industry Regulatory Authority / National Securities Clearing Corporation / Operations & Technology Councils / Boston Consulting Group / /

Continent

America / /

Country

United States / /

Currency

pence / /

Event

Reorganization / /

Facility

Financial Services Institute / The Financial Services Institute / /

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risk products / investment advisory services / automated processing system captures / social media platforms / financial planning services / variable insurance products / financial services / http /

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IBD channel / /

Organization

SEC Investor Advisory Committee / Financial Services Institute3 / office of the Corporate / Financial Services Institute / FINRA CARDS Task Force / Investor Advisory Committee / FINRA / Task Force / CARDS Task Force / Securities and Exchange Commission / office of Supervisory Jurisdiction / Marcia E. Asquith office of the Corporate / /

Person

Marcia E. Asquith / David T. Bellaire / Henry Minnerop / Susan Axelrod / Richard Ketchum / /

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Position

Financial Advisor / Chief Economist / advisors / introducing broker-dealer / Robo Advisors / Financial Advisor Magazine / Executive Vice President & General Counsel / Secretary / Broker-Dealer / independent contractor financial advisors / financial advisors / specific financial advisors / specific financial advisor / Independent Financial Advisors / Meeting Dear Chair / c/o Brent J. Fields Secretary / Vice President / Regulatory Affairs th / registered representative / practicing financial advisors / adviser / /

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DC / /

Technology

effectively using technology / pdf / Data Breach Protocols / /

URL

http /

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