Bank, Trust and Recordkeeper Advisory Content

[24420]   July 15, 2010 TO: BROKER/DEALER ADVISORY COMMITTEE No. 27-10 BANK, TRUST AND RECORDKEEPER ADVISORY COMMITTEE No. 20-10 CHIEF COMPLIANCE OFFICER COMMITTEE No. 6-10 COMPLIANCE ADVISORY COMMITTEE No. 7-10 OPERATIONS COMMITTEE No. 17-10 RE: COMPLIANCE REVIEW FOR FUND...

    [24417]   July 14, 2010 TO: TAX MEMBERS No. 18-10 OPERATIONS MEMBERS No. 7-10 BROKER/DEALER ADVISORY COMMITTEE No. 26-10 TRANSFER AGENT ADVISORY COMMITTEE No. 34-10 BANK, TRUST AND RECORDKEEPER ADVISORY COMMITTEE No. 19-10 RE: ICI LETTER TO TREASURY DEPARTMENT AND IRS ON REPORTING...

    [24397]   June 30, 2010 TO: BANK, TRUST AND RECORDKEEPER ADVISORY COMMITTEE No. 18-10 BROKER/DEALER ADVISORY COMMITTEE No. 25-10 OPERATIONS COMMITTEE No. 16-10 TRANSFER AGENT ADVISORY COMMITTEE No. 33-10     RE: COST BASIS REPORTING TASK FORCE - RECOMMENDED PRACTICES FOR FIRM...

    [24386]   June 25, 2010 TO: PENSION MEMBERS No. 25-10 FEDERAL LEGISLATION MEMBERS No. 3-10 BANK, TRUST AND RECORDKEEPER ADVISORY COMMITTEE No. 17-10 BROKER/DEALER ADVISORY COMMITTEE No. 23-10 OPERATIONS COMMITTEE No. 14-10 RE: PRESIDENT SIGNS PENSION FUNDING RELIEF WITHOUT FEE...

[24379]   June 22, 2010 TO: BANK, TRUST AND RECORDKEEPER ADVISORY COMMITTEE No. 16-10 BROKER/DEALER ADVISORY COMMITTEE No. 22-10 RE: APPELLATE COURT HOLDS EXECUTIVES OF FUND UNDERWRITER CANNOT BE HELD LIABLE UNDER RULE 10B-5 FOR MISREPRESENTATIONS IN FUND PROSPECTUS   In a case of...

[24374]   June 22, 2010 TO: BANK, TRUST AND RECORDKEEPER ADVISORY COMMITTEE No. 15-10 BROKER/DEALER ADVISORY COMMITTEE No. 21-10 TECHNOLOGY COMMITTEE No. 7-10 RE: FINRA PROPOSES TO REQUIRE INFORMATION PROVIDED TO THEM VIA A PORTABLE MEDIA DEVICE BE ENCRYPTED; COMMENTS REQUESTED BY...

[24345]   June 3, 2010 TO: PENSION MEMBERS No. 20-10 FEDERAL LEGISLATION MEMBERS No. 2-10 BANK, TRUST AND RECORDKEEPER ADVISORY COMMITTEE No. 14-10 BROKER/DEALER ADVISORY COMMITTEE No. 18-10 OPERATIONS COMMITTEE No. 13-10 RE: HOUSE PASSES FEE DISCLOSURE BILL   The House of...

    [24333]   May 27, 2010 TO: BANK, TRUST AND RECORDKEEPER ADVISORY COMMITTEE No. 13-10 BROKER/DEALER ADVISORY COMMITTEE No. 17-10 OPERATIONS COMMITTEE No. 12-10 TRANSFER AGENT ADVISORY COMMITTEE No. 28-10     RE: SENATE PASSES FINANCIAL REGULATORY REFORM LEGISLATION   On May 20, the...

    [24322]   May 25, 2010 TO: BROKER/DEALER ADVISORY COMMITTEE No. 15-10 BANK, TRUST AND RECORDKEEPER ADVISORY COMMITTEE No. 12-10 OPERATIONS MEMBERS No. 6-10 SMALL FUNDS MEMBERS No. 34-10 TAX MEMBERS No. 15-10 TRANSFER AGENT ADVISORY COMMITTEE No. 26-10     RE: INSTITUTE SUBMITS...

    [24308]   May 20, 2010 TO: BANK, TRUST AND RECORDKEEPER ADVISORY COMMITTEE No. 11-10 BROKER/DEALER ADVISORY COMMITTEE No. 14-10 OPERATIONS COMMITTEE No. 10-10 SMALL FUNDS MEMBERS No. 33-10 TRANSFER AGENT ADVISORY COMMITTEE No. 25-10     RE: IRS TO SEND COMPLIANCE QUESTIONNAIRE TO...