Bank, Trust and Recordkeeper Advisory Content

  [26590] October 18, 2012 TO: OPERATIONS COMMITTEE No. 38-12 BROKER/DEALER ADVISORY COMMITTEE No. 51-12 BANK, TRUST AND RETIREMENT ADVISORY COMMITTEE No. 45-12 TRANSFER AGENT ADVISORY COMMITTEE No. 62-12 RE: CFTC FILES SUPPLEMENTAL BRIEF IN LAWSUIT CHALLENGING AMENDMENTS TO RULE 4.5...

  [26567] October 9, 2012 TO: OPERATIONS COMMITTEE No. 36-12 BROKER/DEALER ADVISORY COMMITTEE No. 50-12 BANK, TRUST AND RETIREMENT ADVISORY COMMITTEE No. 44-12 TRANSFER AGENT ADVISORY COMMITTEE No. 60-12 RE: ORAL ARGUMENT IN LAWSUIT CHALLENGING AMENDMENTS TO RULE 4.5   On October 5...

  [26561] October 8, 2012 TO: OPERATIONS COMMITTEE No. 35-12 BANK, TRUST AND RETIREMENT ADVISORY COMMITTEE No. 43-12 RE: NEW FLORIDA LAW PROHIBITS PAYING ACCOUNT PROCEEDS TO AN EX-SPOUSE WHO IS A BENEFICIARY OF A DECEDENT   Effective July 1, 2012, Florida has a new law that, with...

[26517] September 24, 2012 TO: BANK, TRUST AND RETIREMENT ADVISORY COMMITTEE No. 42-12 BROKER/DEALER ADVISORY COMMITTEE No. 47-12 CLOSED-END INVESTMENT COMPANY COMMITTEE No. 33-12 COMPLIANCE ADVISORY COMMITTEE No. 3-12 FIXED-INCOME ADVISORY COMMITTEE No. 21-12 INVESTMENT ADVISERS...

[26511] September 19, 2012 TO: PENSION MEMBERS No. 31-12 OPERATIONS COMMITTEE No. 34-12 BANK, TRUST AND RETIREMENT ADVISORY COMMITTEE No. 41-12 BROKER/DEALER ADVISORY COMMITTEE No. 46-12 TRANSFER AGENT ADVISORY COMMITTEE No. 56-12 RE: DOL ACTIVATES 408(b)(2) NON-COMPLIANT PROVIDER...

[26503] September 17, 2012 TO: TAX COMMITTEE No. 42-12 ICI GLOBAL TAX COMMITTEE No. 12-12 INTERNATIONAL COMMITTEE No. 35-12 OPERATIONS COMMITTEE No. 32-12 BROKER/DEALER ADVISORY COMMITTEE No. 45-12 BANK, TRUST AND RETIREMENT ADVISORY COMMITTEE No. 40-12 TRANSFER AGENT ADVISORY...

[26418] August 29, 2012 TO: TAX COMMITTEE No. 41-12 TRANSFER AGENT ADVISORY COMMITTEE No. 53-12 BANK, TRUST AND RETIREMENT ADVISORY COMMITTEE No. 39-12 BROKER/DEALER ADVISORY COMMITTEE No. 43-12 OPERATIONS COMMITTEE No. 31-12 ACCOUNTING/TREASURERS COMMITTEE No. 11-12 CLOSED-END...

  [26402] August 21, 2012 TO: BDAC COST BASIS REPORTING TASK FORCE No. 12-12 BANK, TRUST AND RETIREMENT ADVISORY COMMITTEE No. 38-12 BROKER/DEALER ADVISORY COMMITTEE No. 41-12 OPERATIONS COMMITTEE No. 30-12 SMALL FUNDS COMMITTEE No. 22-12 TAAC COST BASIS REPORTING TASK FORCE No. 9-12...

  [26399] August 14, 2012 TO: TAX COMMITTEE No. 38-12 ICI GLOBAL TAX COMMITTEE No. 10-12 INTERNATIONAL COMMITTEE No. 31-12 OPERATIONS COMMITTEE No. 29-12 BROKER/DEALER ADVISORY COMMITTEE No. 40-12 BANK, TRUST AND RETIREMENT ADVISORY COMMITTEE No. 37-12 TRANSFER AGENT ADVISORY...

[26380] August 8, 2012 TO: BANK, TRUST AND RETIREMENT ADVISORY COMMITTEE No. 36-12 BROKER/DEALER ADVISORY COMMITTEE No. 39-12 SEC RULES MEMBERS No. 73-12 SMALL FUNDS MEMBERS No. 28-12 TRANSFER AGENT ADVISORY COMMITTEE No. 48-12 VARIABLE INSURANCE PRODUCTS ADVISORY COMMITTEE No. 11-12...