Bank, Trust and Recordkeeper Advisory Content

[17391] April 15, 2004 TO: BANK AND TRUST ADVISORY COMMITTEE No. 7-04 TRANSFER AGENT ADVISORY COMMITTEE No. 35-04 RE: INSTITUTE COMMENT LETTER ON SEC PROPOSED CONFIRMATION AND POINT OF SALE DISCLOSURE RULES As we previously advised you, in January, the Securities and Exchange...

[17353] April 5, 2004 TO: BANK AND TRUST ADVISORY COMMITTEE No. 6-04BOARD OF GOVERNORS No. 28-04BROKER/DEALER ADVISORY COMMITTEE No. 11-04COMPLIANCE ADVISORY COMMITTEE No. 41-04OPERATIONS MEMBERS No. 17-04SEC RULES MEMBERS No. 51-04SHAREHOLDER COMMUNICATIONS COMMITTEE No. 6-04SMALL...

[17171] March 8, 2004 TO: BANK AND TRUST ADVISORY COMMITTEE No. 5-04 BROKER/DEALER ADVISORY COMMITTEE No. 8-04 OPERATIONS COMMITTEE No. 4-04 PENSION COMMITTEE No. 12-04 PENSION OPERATIONS ADVISORY COMMITTEE No. 22-04 SEC RULES COMMITTEE No. 22-04 SMALL FUNDS COMMITTEE No. 17-04 TAX...

[17172] March 3, 2004 TO: OPERATIONS COMMITTEE No. 3-04 BROKER/DEALER ADVISORY COMMITTEE No. 7-04 BANK AND TRUST ADVISORY COMMITTEE No. 4-04 TRANSFER AGENT ADVISORY COMMITTEE No. 24-04 RE: SEC AND NASD PROPOSE TO PROHIBIT USE OF BROKERAGE COMMISSIONS TO FINANCE DISTRIBUTION; SEC SEEKS...

[17133] February 24, 2004 TO: BROKER/DEALER ADVISORY COMMITTEE No. 6-04 BANK AND TRUST ADVISORY COMMITTEE No. 3-04 TRANSFER AGENT ADVISORY COMMITTEE No. 22-04 OPERATIONS MEMBERS No. 13-04 TECHNOLOGY ADVISORY COMMITTEE No. 5-04 RE: SEC ADOPTS FUND AND ADVISER COMPLIANCE RULES The...

[17087] February 9, 2004 TO: ACCOUNTING/TREASURERS MEMBERS No. 5-04 BANK AND TRUST ADVISORY COMMITTEE No. 2-04 BROKER/DEALER ADVISORY COMMITTEE No. 5-04 PENSION MEMBERS No. 12-04 PENSION OPERATIONS ADVISORY COMMITTEE No. 13-04 OPERATIONS MEMBERS No. 9-04 TRANSFER AGENT ADVISORY...

[16984] January 16, 2004 TO: BANK AND TRUST ADVISORY COMMITTEE No. 1-04 RE: BTAC MEETING SUMMARY - SEPTEMBER 2003 Attached is a summary of the Bank and Trust Advisory Committee meeting held on September 9, 2003 at the Investment Company Institute in Washington, DC. Justine Phoenix...

[16833] December 2, 2003 TO: ACCOUNTING/TREASURERS MEMBERS No. 49-03 BANK AND TRUST ADVISORY COMMITTEE No. 16-03 BROKER/DEALER ADVISORY COMMITTEE No. 36-03 CLOSED-END INVESTMENT COMPANY MEMBERS No. 100-03 OPERATIONS MEMBERS No. 36-03 TAX MEMBERS No. 66-03 TRANSFER AGENT ADVISORY...

[16832] December 1, 2003 TO: OPERATIONS COMMITTEE No. 25-03 TRANSFER AGENT ADVISORY COMMITTEE No. 106-03 BANK AND TRUST ADVISORY COMMITTEE No. 15-03 BROKER/DEALER ADVISORY COMMITTEE No. 35-03 SMALL FUNDS COMMITTEE No. 31-03 RE: STAMP/SEMP/STA AND NYSE RECOMMEND REJECTION OF OLD...

[16740] November 6, 2003 TO: BANK AND TRUST ADVISORY COMMITTEE No. 14-03 RE: BTAC MEETING NOTICE - FEBRUARY 5, 2004 The next meeting of the Bank and Trust Advisory Committee will be held on Thursday, February 5, 2004 at the offices of Northern Trust located at 700 Brickell Blvd. in...