Bank, Trust and Recordkeeper Advisory Content

  [21893]   October 25, 2007 TO: BANK, TRUST AND RECORDKEEPER ADVISORY COMMITTEE No. 46-07 RE: DOL ISSUES FINAL REGULATION ON QUALIFIED DEFAULT INVESTMENT ALTERNATIVES   The Department of Labor has released a final regulation on qualified default investment alternatives (QDIAs) in...

    [21892]   October 25, 2007 TO: BANK, TRUST AND RECORDKEEPER ADVISORY COMMITTEE No. 45-07 RE: AICPA ISSUES GUIDANCE FOR AUDITORS PERFORMING ENGAGEMENTS RELATING TO SERVICE PROVIDERS’ COMPLIANCE CONTROLS   The AICPA Auditing Standards Board recently released Statement of Position 07...

    [21869]   October 22, 2007 TO: BANK, TRUST AND RECORDKEEPER ADVISORY COMMITTEE No. 44-07     RE: MARK YOUR CALENDAR - BTRAC 2008 MEETING SCHEDULE   The Bank, Trust and Recordkeeper Advisory Committee meeting schedule for 2008 has been finalized.  Please mark your calendar for the...

  [21842]   October 15, 2007 TO: OPERATIONS COMMITTEE No. 29-07 TRANSFER AGENT ADVISORY COMMITTEE No. 72-07 BROKER/DEALER ADVISORY COMMITTEE No. 67-07 BANK, TRUST AND RECORDKEEPER ADVISORY COMMITTEE No. 43-07 RE: MODEL TRANSFER OF ASSETS REQUEST FORM   The Transfer Agent Advisory...

  [21830]   October 11, 2007 TO: PENSION COMMITTEE No. 31-07 PENSION OPERATIONS ADVISORY COMMITTEE No. 32-07 BANK, TRUST AND RECORDKEEPER ADVISORY COMMITTEE No. 42-07 BROKER/DEALER ADVISORY COMMITTEE No. 66-07 RE: ICI CONFERENCE CALL TO DISCUSS REP. NEAL DEFINED CONTRIBUTION PLAN...

  [21821]   October 10, 2007 TO: BANK, TRUST AND RECORDKEEPER ADVISORY COMMITTEE No. 41-07 BROKER/DEALER ADVISORY COMMITTEE No. 65-07 OPERATIONS COMMITTEE No. 28-07 RE: MODEL INFORMATION SHARING AGREEMENT FOR 403(B) PLANS   Attached is the ICI Model Information Sharing Agreement for...

  [21760]   October 5, 2007 TO: PENSION MEMBERS No. 56-07 FEDERAL LEGISLATION MEMBERS No. 8-07 BANK, TRUST AND RECORDKEEPER ADVISORY COMMITTEE No. 40-07 BROKER/DEALER ADVISORY COMMITTEE No. 63-07 OPERATIONS COMMITTEE No. 27-07 RE: REP. NEAL INTRODUCES DEFINED CONTRIBUTION PLAN...

  [21752]   October 5, 2007 TO: BANK, TRUST AND RECORDKEEPER ADVISORY COMMITTEE No. 38-07 BANK INVESTMENT MANAGEMENT MEMBERS No. 2-07 RE: SEC AND FEDERAL RESERVE ADOPT JOINT RULES IMPLEMENTING THE BANK EXCEPTION FOR BROKER-DEALERS UNDER THE 1934 EXCHANGE ACT   As we previously advised...

    [21757]   October 5, 2007 TO: PENSION MEMBERS No. 55-07 FEDERAL LEGISLATION MEMBERS No. 7-07 BANK, TRUST AND RECORDKEEPER ADVISORY COMMITTEE No. 39-07 BROKER/DEALER ADVISORY COMMITTEE No. 62-07 OPERATIONS COMMITTEE No. 26-07 RE: INSTITUTE STATEMENT ON H.R. 3185, THE 401(K) FAIR...

  [21722]   October 3, 2007 TO: BANK, TRUST AND RECORDKEEPER ADVISORY COMMITTEE No. 37-07 BROKER/DEALER ADVISORY COMMITTEE No. 61-07 CHIEF COMPLIANCE OFFICER COMMITTEE No. 21-07 COMPLIANCE ADVISORY COMMITTEE No. 20-07 OPERATIONS COMMITTEE No. 25-07 PENSION OPERATIONS ADVISORY...