Bank, Trust and Recordkeeper Advisory Content

[28960] May 7, 2015 TO: 529 PLAN MEMBERS No. 5-15 ACCOUNTING/TREASURERS MEMBERS No. 10-15 ADVISER DISTRIBUTOR TAX ISSUES TASK FORCE No. 9-15 BDAC COST BASIS REPORTING TASK FORCE No. 1-15 BANK, TRUST AND RETIREMENT ADVISORY COMMITTEE No. 14-15 BROKER/DEALER ADVISORY COMMITTEE No. 18-15...

[28946] April 30, 2015 TO: OPERATIONS MEMBERS No. 17-15 OPERATIONS COMMITTEE No. 8-15 BROKER/DEALER ADVISORY COMMITTEE No. 17-15 BANK, TRUST AND RETIREMENT ADVISORY COMMITTEE No. 13-15 TRANSFER AGENT ADVISORY COMMITTEE No. 19-15 SMALL FUNDS COMMITTEE No. 5-15 RE: DTCC MUTUAL FUND...

[28942] April 30, 2015 TO: BANK, TRUST AND RETIREMENT ADVISORY COMMITTEE No. 12-15 RE: BTRAC MEETING NOTICE - JUNE 10-11, 2015   The next Bank, Trust and Retirement Advisory Committee meeting will be held on Wednesday, June 10, 2015 from 1:00 p.m. to 5:00 p.m. ET and on Thursday, June...

[28939] April 29, 2015 TO: PENSION MEMBERS No. 15-15 OPERATIONS MEMBERS No. 15-15 SMALL FUNDS MEMBERS No. 19-15 BANK, TRUST AND RETIREMENT ADVISORY COMMITTEE No. 11-15 BROKER/DEALER ADVISORY COMMITTEE No. 16-15 TRANSFER AGENT ADVISORY COMMITTEE No. 18-15 RE: DEPARTMENT OF LABOR RE...

[28926] April 27, 2015 TO: ACCOUNTING/TREASURERS MEMBERS No. 9-15 BANK, TRUST AND RETIREMENT ADVISORY COMMITTEE No. 10-15 BROKER/DEALER ADVISORY COMMITTEE No. 15-15 CHIEF RISK OFFICER COMMITTEE No. 10-15 CLOSED-END INVESTMENT COMPANY MEMBERS No. 15-15 COMPLIANCE MEMBERS No. 14-15 END...

[28924] April 27, 2015 TO: ACCOUNTING/TREASURERS MEMBERS No. 8-15 BANK, TRUST AND RETIREMENT ADVISORY COMMITTEE No. 9-15 BROKER/DEALER ADVISORY COMMITTEE No. 14-15 CHIEF RISK OFFICER COMMITTEE No. 9-15 CLOSED-END INVESTMENT COMPANY COMMITTEE No. 7-15 COMPLIANCE MEMBERS No. 13-15 END...

[28839] March 17, 2015 TO: PENSION MEMBERS No. 10-15 OPERATIONS MEMBERS No. 10-15 BANK, TRUST AND RETIREMENT ADVISORY COMMITTEE No. 8-15 BROKER/DEALER ADVISORY COMMITTEE No. 12-15 TRANSFER AGENT ADVISORY COMMITTEE No. 13-15 RE: IRS PROVIDES TRANSITION RELIEF AND NOTIFICATION OF...

[28814] March 11, 2015 TO: ACCOUNTING/TREASURERS MEMBERS No. 5-15 BANK, TRUST AND RETIREMENT ADVISORY COMMITTEE No. 7-15 BROKER/DEALER ADVISORY COMMITTEE No. 10-15 MONEY MARKET FUNDS ADVISORY COMMITTEE No. 10-15 MUNICIPAL SECURITIES ADVISORY COMMITTEE No. 7-15 OPERATIONS MEMBERS No. 9...

[28793] March 4, 2015 TO: SECURITIES OPERATIONS ADVISORY COMMITTEE ACCOUNTING/TREASURERS COMMITTEE No. 5-15 EQUITY MARKETS ADVISORY COMMITTEE No. 3-15 OPERATIONS COMMITTEE No. 7-15 BROKER/DEALER ADVISORY COMMITTEE No. 9-15 BANK, TRUST AND RETIREMENT ADVISORY COMMITTEE No. 6-15...

[28735] February 13, 2015 TO: OPERATIONS MEMBERS No. 7-15 BROKER/DEALER ADVISORY COMMITTEE No. 7-15 BANK, TRUST AND RETIREMENT ADVISORY COMMITTEE No. 5-15 SMALL FUNDS MEMBERS No. 5-15 COMPLIANCE MEMBERS No. 6-15 TRANSFER AGENT ADVISORY COMMITTEE No. 8-15 RE: FINRA SANCTIONS BROKER...