Bank, Trust and Recordkeeper Advisory Content

    [20878]   February 16, 2007 TO: BANK, TRUST AND RECORDKEEPER ADVISORY COMMITTEE No. 6-07 BANK INVESTMENT MANAGEMENT MEMBERS No. 1-07     RE: ICI DRAFT COMMENT LETTER ON PROPOSED REGULATION R THAT WOULD DEFINE WHEN A BANK IS A BROKER-DEALER UNDER THE 1934 ACT   As jointly proposed...

    [20859]   February 9, 2007 TO: SEC RULES MEMBERS No. 16-07 OPERATIONS MEMBERS No. 7-07 BROKER/DEALER ADVISORY COMMITTEE No. 10-07 BANK, TRUST AND RECORDKEEPER ADVISORY COMMITTEE No. 5-07 TRANSFER AGENT ADVISORY COMMITTEE No. 9-07 SMALL FUNDS MEMBERS No. 16-07     RE: ICI...

    [20844]   February 6, 2007 TO: 529 PLAN MEMBERS No. 1-07 BANK, TRUST AND RECORDKEEPER ADVISORY COMMITTEE No. 4-07 BROKER/DEALER ADVISORY COMMITTEE No. 8-07 FEDERAL LEGISLATION MEMBERS No. 1-07 OPERATIONS MEMBERS No. 6-07 PENSION MEMBERS No. 8-07 SMALL FUNDS MEMBERS No. 14-07 TAX...

[20834] February 1, 2007 TO: SEC RULES MEMBERS No. 11-07 OPERATIONS MEMBERS No. 4-07 BROKER/DEALER ADVISORY COMMITTEE No. 5-07 BANK, TRUST AND RECORDKEEPER ADVISORY COMMITTEE No. 3-07 TRANSFER AGENT ADVISORY COMMITTEE No. 7-07 SMALL FUNDS MEMBERS No. 11-07 RE: SEC GRANTS LIMITED NO...

    [20785]   January 16, 2007 TO: BANK, TRUST AND RECORDKEEPER ADVISORY COMMITTEE No. 2-07 BROKER/DEALER ADVISORY COMMITTEE No. 3-07     RE: IRS RELEASES GUIDANCE ON PENSION PROTECTION ACT DISTRIBUTION PROVISIONS   The IRS has released Notice 2007-7, [1] which provides guidance in...

    [20764]   January 8, 2007 TO: BANK, TRUST AND RECORDKEEPER ADVISORY COMMITTEE No. 1-07 BROKER/DEALER ADVISORY COMMITTEE No. 1-07 TRANSFER AGENT ADVISORY COMMITTEE No. 2-07     RE: MODEL CONTRACTUAL CLAUSES FOR USE WITH INSURANCE COMPANIES UNDER THE SEC’S REDEMPTION FEE RULE   As...

    [20113]   January 5, 2007 TO: OPERATIONS MEMBERS No. 15-06 TAX MEMBERS No. 23-06 BANK, TRUST AND RECORDKEEPING ADVISORY COMMITTEE No. 18-06 BROKER/DEALER ADVISORY COMMITTEE No. 21-06 TRANSFER AGENT ADVISORY COMMITTEE No. 39-06     RE: GAO ISSUES REPORT ON COST BASIS REPORTING  ...

©2006 Investment Company Institute. All rights reserved. Information may be abridged and therefore incomplete. Communications from the Institute do not constitute, and should not be considered a substitute for, legal advice. [20739] December 29, 2006 TO: ACCOUNTING/TREASURERS MEMBERS...

©2006 Investment Company Institute. All rights reserved. Information may be abridged and therefore incomplete. Communications from the Institute do not constitute, and should not be considered a substitute for, legal advice. [20709] December 20, 2006 TO: BANK, TRUST AND RECORDKEEPER...

©2006 Investment Company Institute. All rights reserved. Information may be abridged and therefore incomplete. Communications from the Institute do not constitute, and should not be considered a substitute for, legal advice. [20685] December 14, 2006 TO: BANK, TRUST AND RECORDKEEPER...