Bank, Trust and Recordkeeper Advisory Content

  [24702]   November 11, 2010 TO: PENSION MEMBERS No. 49-10 TRANSFER AGENT ADVISORY COMMITTEE No. 76-10 BANK, TRUST AND RECORDKEEPER ADVISORY COMMITTEE No. 49-10 BROKER/DEALER ADVISORY COMMITTEE No. 56-10 OPERATIONS COMMITTEE No. 37-10 RE: DOL ISSUES FINAL PARTICIPANT DISCLOSURE...

[24689] November 5, 2010 TO: ACCOUNTING/TREASURERS MEMBERS No. 37-10 BANK, TRUST AND RECORDKEEPER ADVISORY COMMITTEE No. 48-10 BOARD OF GOVERNORS No. 8-10 BROKER/DEALER ADVISORY COMMITTEE No. 55-10 INVESTMENT COMPANY DIRECTORS No. 27-10 MONEY MARKET FUNDS ADVISORY COMMITTEE No. 57-10...

[24687] November 4, 2010 TO: CHIEF COMPLIANCE OFFICER COMMITTEE No. 7-10 INTERNAL AUDIT ADVISORY COMMITTEE No. 9-10 RISK MANAGEMENT COMMITTEE No. 18-10 SEC RULES COMMITTEE No. 49-10 SMALL FUNDS COMMITTEE No. 21-10 RE: SEC PUBLISHES PROPOSED WHISTLEBLOWER RULES FOR COMMENT; CALL TO...

    [24683]   November 4, 2010 TO: BANK, TRUST AND RECORDKEEPER ADVISORY COMMITTEE No. 46-10 RE: FINRA ISSUES CONCEPT RELEASE SEEKING COMMENT ON DISCLOSURE DOCUMENT THAT WOULD BE REQUIRED TO BE PROVIDED TO RETAIL CUSTOMERS   FINRA has issued a concept release seeking comment on...

[24686] November 4, 2010 TO: ACCOUNTING/TREASURERS MEMBERS No. 36-10 BANK, TRUST AND RECORDKEEPER ADVISORY COMMITTEE No. 47-10 BROKER/DEALER ADVISORY COMMITTEE No. 54-10 FIXED-INCOME ADVISORY COMMITTEE No. 25-10 MONEY MARKET FUNDS ADVISORY COMMITTEE No. 56-10 MUNICIPAL SECURITIES...

  [24672]   October 28, 2010 TO: BANK, TRUST AND RECORDKEEPER ADVISORY COMMITTEE No. 44-10 BROKER/DEALER ADVISORY COMMITTEE No. 51-10 COMPLIANCE MEMBERS No. 27-10 PENSION MEMBERS No. 46-10 TRANSFER AGENT ADVISORY COMMITTEE No. 70-10 RE: NOVEMBER 29TH CALL TO DISCUSS OPERATIONAL ISSUES...

  [24673]   October 28, 2010 TO: 529 PLAN MEMBERS No. 3-10 BANK, TRUST AND RECORDKEEPER ADVISORY COMMITTEE No. 45-10 BROKER/DEALER ADVISORY COMMITTEE No. 52-10 COMPLIANCE MEMBERS No. 28-10 INVESTMENT ADVISER MEMBERS No. 14-10 PENSION MEMBERS No. 47-10 SEC RULES MEMBERS No. 110-10...

[24662] October 27, 2010 TO: BROKER/DEALER ADVISORY COMMITTEE No. 50-10 BANK, TRUST AND RECORDKEEPER ADVISORY COMMITTEE No. 43-10 RE: DOL PROPOSES NEW DEFINITION OF INVESTMENT ADVICE FIDUCIARY   The Department of Labor proposed a new rule on the circumstances under which a person will...

[24655] October 26, 2010 TO: ACCOUNTING/TREASURERS COMMITTEE No. 13-10 BANK, TRUST AND RECORDKEEPER ADVISORY COMMITTEE No. 42-10 BROKER/DEALER ADVISORY COMMITTEE No. 49-10 OPERATIONS COMMITTEE No. 34-10 TRANSFER AGENT ADVISORY COMMITTEE No. 69-10 RE: ICI FILES COMMENT LETTER...

  [24647]   October 22, 2010 TO: ACCOUNTING/TREASURERS MEMBERS No. 34-10 BANK, TRUST AND RECORDKEEPER ADVISORY COMMITTEE No. 41-10 BROKER/DEALER ADVISORY COMMITTEE No. 48-10 FIXED-INCOME ADVISORY COMMITTEE No. 23-10 MONEY MARKET FUNDS ADVISORY COMMITTEE No. 54-10 MUNICIPAL SECURITIES...