Bank, Trust and Recordkeeper Advisory Content

  [24974] February 18, 2011 TO: BANK, TRUST AND RECORDKEEPER ADVISORY COMMITTEE No. 12-11 BROKER/DEALER ADVISORY COMMITTEE No. 10-11 COMPLIANCE MEMBERS No. 17-11 OPERATIONS MEMBERS No. 6-11 SEC RULES MEMBERS No. 35-11 SMALL FUNDS MEMBERS No. 21-11 TRANSFER AGENT ADVISORY COMMITTEE No...

  [24976] February 18, 2011 TO: 529 PLAN ADVISORY COMMITTEE No. 2-11 BANK, TRUST AND RECORDKEEPER ADVISORY COMMITTEE No. 13-11 BROKER/DEALER ADVISORY COMMITTEE No. 11-11 CLOSED-END INVESTMENT COMPANY COMMITTEE No. 11-11 COMPLIANCE ADVISORY COMMITTEE No. 3-11 FIXED-INCOME ADVISORY...

  [24971] February 17, 2011 TO: BDAC COST BASIS REPORTING TASK FORCE No. 3-11 BANK, TRUST AND RECORDKEEPER ADVISORY COMMITTEE No. 11-11 BROKER/DEALER ADVISORY COMMITTEE No. 9-11 OPERATIONS COMMITTEE No. 8-11 TAX COMMITTEE No. 7-11 TRANSFER AGENT ADVISORY COMMITTEE No. 14-11 RE...

  [24962] February 11, 2011 TO: PENSION MEMBERS No. 11-11 OPERATIONS COMMITTEE No. 7-11 BANK, TRUST AND RECORDKEEPER ADVISORY COMMITTEE No. 10-11 TRANSFER AGENT ADVISORY COMMITTEE No. 13-11 RE: DOL EXTENDS COMPLIANCE DEADLINE FOR SERVICE PROVIDER DISCLOSURE RULES TO JANUARY 1, 2012  ...

  [24939] February 3, 2011 TO: BANK, TRUST AND RECORDKEEPER ADVISORY COMMITTEE No. 9-11 BROKER/DEALER ADVISORY COMMITTEE No. 8-11 CLOSED-END INVESTMENT COMPANY COMMITTEE No. 8-11 ETF ADVISORY COMMITTEE No. 12-11 EQUITY MARKETS ADVISORY COMMITTEE No. 11-11 FIXED-INCOME ADVISORY...

  [24921] January 31, 2011 TO: BANK, TRUST AND RECORDKEEPER ADVISORY COMMITTEE No. 8-11 RE: SEC STAFF RESPONSES TO QUESTIONS ABOUT INFORMATION FILED ON FORM N-MFP   The SEC staff recently posted a series of questions and answers on the availability of information filed by money market...

  [24900] January 21, 2011 TO: BANK, TRUST AND RECORDKEEPER ADVISORY COMMITTEE No. 7-11 BROKER/DEALER ASSOCIATE MEMBERS No. 1-11 CLOSED-END INVESTMENT COMPANY MEMBERS No. 8-11 COMPLIANCE MEMBERS No. 8-11 INVESTMENT ADVISER MEMBERS No. 3-11 MUNICIPAL SECURITIES ADVISORY COMMITTEE No. 2...

  [24877] January 14, 2011 TO: BROKER/DEALER ADVISORY COMMITTEE No. 5-11 BANK, TRUST AND RECORDKEEPER ADVISORY COMMITTEE No. 5-11 TAX MEMBERS No. 2-11 OPERATIONS MEMBERS No. 2-11 TRANSFER AGENT ADVISORY COMMITTEE No. 5-11 SMALL FUNDS MEMBERS No. 5-11 RE: ICI LETTER TO IRS AND TREASURY...

  [24878] January 14, 2011 TO: PENSION MEMBERS No. 5-11 SEC RULES MEMBERS No. 8-11 ADVERTISING COMPLIANCE ADVISORY COMMITTEE No. 2-11 TRANSFER AGENT ADVISORY COMMITTEE No. 6-11 BANK, TRUST AND RECORDKEEPER ADVISORY COMMITTEE No. 6-11 OPERATIONS COMMITTEE No. 3-11 RE: ICI FILES COMMENT...

  [24874] January 13, 2011 TO: BANK, TRUST AND RECORDKEEPER ADVISORY COMMITTEE No. 3-11 BROKER/DEALER ADVISORY COMMITTEE No. 3-11 COMPLIANCE MEMBERS No. 4-11 PENSION MEMBERS No. 2-11 TRANSFER AGENT ADVISORY COMMITTEE No. 3-11 RE: SCHEDULE OF 2011 CALLS TO DISCUSS OPERATIONAL ISSUES...