Bank, Trust and Recordkeeper Advisory Content

    [23268]   February 20, 2009 TO: BANK, TRUST AND RECORDKEEPER ADVISORY COMMITTEE No. 8-09 BROKER/DEALER ADVISORY COMMITTEE No. 10-09 CHIEF COMPLIANCE OFFICER COMMITTEE No. 5-09 COMPLIANCE ADVISORY COMMITTEE No. 2-09 OPERATIONS COMMITTEE No. 3-09 SEC RULES COMMITTEE No. 8-09...

[23267]   February 20, 2009 TO: BANK, TRUST AND RECORDKEEPER ADVISORY COMMITTEE No. 7-09 BROKER/DEALER ADVISORY COMMITTEE No. 9-09 COMPLIANCE MEMBERS No. 10-09 OPERATIONS MEMBERS No. 5-09 SEC RULES MEMBERS No. 19-09 TRANSFER AGENT ADVISORY COMMITTEE No. 18-09 RE: RECEIVER FOR STANFORD...

    [23242]   February 9, 2009 TO: PENSION MEMBERS No. 10-09 TRANSFER AGENT ADVISORY COMMITTEE No. 12-09 BANK, TRUST AND RECORDKEEPER ADVISORY COMMITTEE No. 5-09     RE: ICI REQUESTS TREASURY GUIDANCE ON 2009 RMD WAIVER   The Institute prepared and submitted to the Treasury the...

    [23233]   February 4, 2009 TO: BANK, TRUST AND RECORDKEEPER ADVISORY COMMITTEE No. 4-09     RE: SEC CHARGES AN INVESTMENT ADVISER AND TWO OF ITS REPRESENTATIVES WITH MISLEADING PENSION CONSULTING CLIENTS   The Securities and Exchange Commission has announced that it has charged an...

  ACTION REQUESTED [23203]   January 23, 2009 TO: PENSION COMMITTEE No. 3-09 PENSION OPERATIONS ADVISORY COMMITTEE No. 3-09 TRANSFER AGENT ADVISORY COMMITTEE No. 8-09 BANK, TRUST AND RECORDKEEPER ADVISORY COMMITTEE No. 3-09     RE: IRS ISSUES RMD GUIDANCE ON FORM 5498/OTHER...

    [23197]   January 21, 2009 TO: ACCOUNTING/TREASURERS COMMITTEE No. 2-09 BANK, TRUST AND RECORDKEEPER ADVISORY COMMITTEE No. 2-09 BOARD OF GOVERNORS No. 2-09 BROKER/DEALER ADVISORY COMMITTEE No. 5-09 ETF ADVISORY COMMITTEE No. 1-09 EXCHANGE-TRADED FUNDS (ETF) COMMITTEE No. 1-09...

    [23178]   January 12, 2009 TO: TAX MEMBERS No. 2-09 OPERATIONS MEMBERS No. 1-09 ACCOUNTING/TREASURERS MEMBERS No. 4-09 CLOSED-END INVESTMENT COMPANY MEMBERS No. 2-09 TRANSFER AGENT ADVISORY COMMITTEE No. 5-09 BANK, TRUST AND RECORDKEEPER ADVISORY COMMITTEE No. 1-09 BROKER/DEALER...

    [23155]   December 31, 2008 TO: BANK, TRUST AND RECORDKEEPER ADVISORY COMMITTEE No. 41-08 BROKER/DEALER ADVISORY COMMITTEE No. 52-08 OPERATIONS COMMITTEE No. 23-08 SMALL FUNDS COMMITTEE No. 32-08 TRANSFER AGENT ADVISORY COMMITTEE No. 73-08 CHIEF COMPLIANCE OFFICER COMMITTEE No. 24...

    [23139]   December 19, 2008 TO: PENSION MEMBERS No. 81-08 TAX COMMITTEE No. 38-08 BANK, TRUST AND RECORDKEEPER ADVISORY COMMITTEE No. 39-08 BROKER/DEALER ADVISORY COMMITTEE No. 50-08 RESEARCH COMMITTEE No. 10-08 SEC RULES COMMITTEE No. 91-08 FEDERAL LEGISLATION MEMBERS No. 19-08  ...

    [23140]   December 19, 2008 TO: BANK, TRUST AND RECORDKEEPER ADVISORY COMMITTEE No. 40-08 BROKER/DEALER ADVISORY COMMITTEE No. 51-08 COMPLIANCE MEMBERS No. 68-08 OPERATIONS MEMBERS No. 26-08 PRIVACY ISSUES WORKING GROUP No. 19-08 SMALL FUNDS MEMBERS No. 75-08 TRANSFER AGENT...