Bank, Trust and Recordkeeper Advisory Content

  [24875] January 13, 2011 TO: 529 PLAN MEMBERS No. 1-11 BANK, TRUST AND RECORDKEEPER ADVISORY COMMITTEE No. 4-11 BROKER/DEALER ADVISORY COMMITTEE No. 4-11 COMPLIANCE MEMBERS No. 5-11 INVESTMENT ADVISER MEMBERS No. 2-11 PENSION MEMBERS No. 3-11 SEC RULES MEMBERS No. 6-11 SMALL FUNDS...

[24863] January 11, 2011 TO: TAX COMMITTEE No. 3-11 SMALL FUNDS COMMITTEE No. 3-11 OPERATIONS COMMITTEE No. 2-11 COMPLIANCE ADVISORY COMMITTEE No. 2-11 BROKER/DEALER ADVISORY COMMITTEE No. 2-11 BANK, TRUST AND RECORDKEEPER ADVISORY COMMITTEE No. 2-11 TRANSFER AGENT ADVISORY COMMITTEE...

  [24844] January 7, 2011 TO: BANK, TRUST AND RECORDKEEPER ADVISORY COMMITTEE No. 1-11 BDAC COST BASIS REPORTING TASK FORCE No. 1-11 BROKER/DEALER ADVISORY COMMITTEE No. 1-11 SMALL FUNDS COMMITTEE No. 1-11 TAX COMMITTEE No. 1-11 TRANSFER AGENT ADVISORY COMMITTEE No. 1-11 OPERATIONS...

  [24804]   December 20, 2010 TO: COMPLIANCE MEMBERS No. 35-10 INTERNAL AUDIT ADVISORY COMMITTEE No. 12-10 RISK MANAGEMENT ADVISORY COMMITTEE No. 7-10 SEC RULES MEMBERS No. 139-10 SMALL FUNDS MEMBERS No. 84-10 RE: ICI FILES COMMENT LETTER ON SEC PROPOSED WHISTLEBLOWER RULES   Last...

  [24784]   December 13, 2010 TO: BANK, TRUST AND RECORDKEEPER ADVISORY COMMITTEE No. 55-10 RE: BTRAC MEETING NOTICE - FEBRUARY 16-17, 2011   The next Bank, Trust and Recordkeeper Advisory Committee meeting will be held on Wednesday, February 16 and Thursday, February 17, 2011 at the...

    [24782]   December 13, 2010 TO: BANK, TRUST AND RECORDKEEPER ADVISORY COMMITTEE No. 54-10 RE: ICI DRAFT LETTER ON FINRA DISCLOSURE DOCUMENT PROPOSAL; COMMENTS DUE FRIDAY, DECEMBER 17TH   As we previously informed you, [1] in October, FINRA issued a concept release seeking comment...

  [24773]   December 9, 2010 TO: BANK, TRUST AND RECORDKEEPER ADVISORY COMMITTEE No. 53-10 BROKER/DEALER ADVISORY COMMITTEE No. 61-10 CLOSED-END INVESTMENT COMPANY COMMITTEE No. 28-10 ETF ADVISORY COMMITTEE No. 53-10 EQUITY MARKETS ADVISORY COMMITTEE No. 51-10 FIXED-INCOME ADVISORY...

  [24766]   December 7, 2010 TO: BANK, TRUST AND RECORDKEEPER ADVISORY COMMITTEE No. 52-10 BROKER/DEALER ADVISORY COMMITTEE No. 60-10 COMPLIANCE MEMBERS No. 34-10 INVESTMENT ADVISER MEMBERS No. 16-10 SMALL FUNDS MEMBERS No. 80-10 RE: FORM LETTER MEMBERS MAY USE TO OBTAIN LIST OF...

    [24754]   December 2, 2010 TO: PENSION MEMBERS No. 57-10 SEC RULES MEMBERS No. 131-10 SMALL FUNDS MEMBERS No. 79-10 ADVERTISING COMPLIANCE ADVISORY COMMITTEE No. 6-10 TRANSFER AGENT ADVISORY COMMITTEE No. 79-10 BANK, TRUST AND RECORDKEEPER ADVISORY COMMITTEE No. 51-10 OPERATIONS...

[24752] December 1, 2010 TO: ACCOUNTING/TREASURERS MEMBERS No. 39-10 BANK, TRUST AND RECORDKEEPER ADVISORY COMMITTEE No. 50-10 BOARD OF GOVERNORS No. 11-10 BROKER/DEALER ADVISORY COMMITTEE No. 57-10 INVESTMENT COMPANY DIRECTORS No. 29-10 MONEY MARKET FUNDS ADVISORY COMMITTEE No. 64-10...