Bank, Trust and Recordkeeper Advisory Content

    [24298]   May 13, 2010 TO: BANK, TRUST AND RECORDKEEPER ADVISORY COMMITTEE No. 10-10 BROKER/DEALER ADVISORY COMMITTEE No. 13-10 SMALL FUNDS COMMITTEE No. 5-10 TAX COMMITTEE No. 16-10 TRANSFER AGENT ADVISORY COMMITTEE No. 23-10 OPERATIONS COMMITTEE No. 9-10     RE: DRAFT COMMENT...

    [24227]   April 12, 2010 TO: BANK, TRUST AND RECORDKEEPER ADVISORY COMMITTEE No. 9-10     RE: BTRAC MEETING NOTICE - JUNE 16-17, 2010   The next meeting of the Bank, Trust and Recordkeeper Advisory Committee will be held on Wednesday, June 16 and Thursday, June 17, 2010 at the...

    [24220]   April 7, 2010 TO: AML COMPLIANCE WORKING GROUP No. 4-10 OPERATIONS COMMITTEE No. 6-10 TRANSFER AGENT ADVISORY COMMITTEE No. 16-10 BANK, TRUST AND RECORDKEEPER ADVISORY COMMITTEE No. 8-10 BROKER/DEALER ADVISORY COMMITTEE No. 11-10 SMALL FUNDS COMMITTEE No. 3-10     RE...

    [24180]   March 10, 2010 TO: BANK, TRUST AND RECORDKEEPER ADVISORY COMMITTEE No. 7-10 BROKER/DEALER ADVISORY COMMITTEE No. 9-10 SMALL FUNDS MEMBERS No. 15-10     RE: MEMBER CALL AND FINCEN GUIDANCE ON AML PROGRAMS AND BENEFICIAL OWNERSHIP INFORMATION   On March 5th, the Financial...

    [24148]   February 24, 2010 TO: ACCOUNTING/TREASURERS MEMBERS No. 8-10 BANK, TRUST AND RECORDKEEPER ADVISORY COMMITTEE No. 6-10 BOARD OF GOVERNORS No. 2-10 BROKER/DEALER ADVISORY COMMITTEE No. 8-10 MONEY MARKET FUNDS ADVISORY COMMITTEE No. 6-10 MUNICIPAL SECURITIES ADVISORY...

    [24133]   February 12, 2010 TO: BROKER/DEALER ADVISORY COMMITTEE No. 6-10 BANK, TRUST AND RECORDKEEPER ADVISORY COMMITTEE No. 5-10 OPERATIONS MEMBERS No. 1-10 SMALL FUNDS MEMBERS No. 11-10 TAX MEMBERS No. 4-10 TRANSFER AGENT ADVISORY COMMITTEE No. 9-10     RE: INSTITUTE COMMENT...

    [24130]   February 8, 2010 TO: BANK, TRUST AND RECORDKEEPER ADVISORY COMMITTEE No. 4-10     RE: LABOR AND TREASURY REQUEST FOR INFORMATION ON LIFETIME INCOME PRODUCTS   The Departments of Labor and Treasury have released a request for information on lifetime income to help them...

    [24111]   January 29, 2010 TO: BROKER/DEALER ADVISORY COMMITTEE No. 5-10 BANK, TRUST AND RECORDKEEPER ADVISORY COMMITTEE No. 3-10 OPERATIONS COMMITTEE No. 3-10 SMALL FUNDS COMMITTEE No. 2-10 TAX COMMITTEE No. 2-10 TRANSFER AGENT ADVISORY COMMITTEE No. 4-10     RE: DRAFT INSTITUTE...

    [24105]   January 27, 2010 TO: BANK, TRUST AND RECORDKEEPER ADVISORY COMMITTEE No. 2-10     RE: DRAFT ICI LETTER SUPPORTING GREATER FLEXIBILITY IN MAINTAINING FINRA REGISTRATIONS; COMMENTS DUE TO ICI BY FEB. 12TH   As you may recall, in 2007, FINRA filed with the SEC proposed rule...

    [24074]   January 13, 2010 TO: BANK, TRUST AND RECORDKEEPER ADVISORY COMMITTEE No. 1-10     RE: CONFIRMATION OF OFAC PROGRAM LETTER FOR CLEARING AGENCIES - DUE MARCH 31, 2010   On September 11, 2009, the Securities and Exchange Commission (“Commission”) issued a notice of proposed...