Broker/Dealer Advisory Content

    [22789]   August 15, 2008 TO: ACCOUNTING/TREASURERS COMMITTEE No. 11-08 BANK AND TRUST ADVISORY COMMITTEE No. 25-08 BROKER/DEALER ADVISORY COMMITTEE No. 26-08 CLOSED-END INVESTMENT COMPANY COMMITTEE No. 28-08 OPERATIONS COMMITTEE No. 14-08 TAX COMMITTEE No. 27-08 TRANSFER AGENT...

    [22775]   August 6, 2008 TO: COMPLIANCE MEMBERS No. 37-08 SEC RULES MEMBERS No. 75-08 SMALL FUNDS MEMBERS No. 49-08 AML COMPLIANCE WORKING GROUP No. 3-08 BROKER/DEALER ADVISORY COMMITTEE No. 25-08 OPERATIONS COMMITTEE No. 13-08 TRANSFER AGENT ADVISORY COMMITTEE No. 40-08     RE...

    [22773]   August 5, 2008 TO: BROKER/DEALER ADVISORY COMMITTEE No. 24-08 COMPLIANCE MEMBERS No. 36-08 OPERATIONS MEMBERS No. 11-08 PRIVACY ISSUES WORKING GROUP No. 8-08 SEC RULES MEMBERS No. 73-08 SMALL FUNDS MEMBERS No. 48-08 TECHNOLOGY COMMITTEE No. 21-08 TRANSFER AGENT ADVISORY...

    [22762]   August 4, 2008 TO: BANK, TRUST AND RECORDKEEPER ADVISORY COMMITTEE No. 23-08 BROKER/DEALER ADVISORY COMMITTEE No. 24-08 ETF ADVISORY COMMITTEE No. 20-08 OPERATIONS COMMITTEE No. 13-08 RESEARCH COMMITTEE No. 6-08 SEC RULES COMMITTEE No. 56-08 SMALL FUNDS COMMITTEE No. 24...

[22742] July 29, 2008 TO: PENSION MEMBERS No. 44-08TRANSFER AGENT ADVISORY COMMITTEE No. 36-08BANK, TRUST AND RECORDKEEPER ADVISORY COMMITTEE No. 22-08BROKER/DEALER ADVISORY COMMITTEE No. 23-08OPERATIONS COMMITTEE No. 12-08 RE: DOL PROPOSES PLAN PARTICIPANT DISCLOSURE RULES The...

[22724] July 22, 2008 TO: BROKER/DEALER ADVISORY COMMITTEE No. 22-08COMPLIANCE MEMBERS No. 29-08PRIVACY ISSUES WORKING GROUP No. 6-08SEC RULES MEMBERS No. 65-08TECHNOLOGY COMMITTEE No. 18-08 RE: SEC SANCTIONS BROKER-DEALER FOR REGULATION S-P VIOLATIONS As we previously informed you...

[22722] July 22, 2008 TO: SEC RULES COMMITTEE No. 52-08 INTERNATIONAL COMMITTEE No. 17-08 SMALL FUNDS COMMITTEE No. 22-08 BROKER/DEALER ADVISORY COMMITTEE No. 21-08 TRANSFER AGENT ADVISORY COMMITTEE No. 34-08 RE: IOSCO SEEKS COMMENT ON POINT OF SALE ISSUES PAPER On July 8, 2008, staff...

[22711] July 18, 2008 TO: BOARD OF GOVERNORS No. 5-08BROKER/DEALER ADVISORY COMMITTEE No. 20-08 SEC RULES MEMBERS No. 63-08 SMALL FUNDS MEMBERS No. 42-08 RE: INSTITUTE FILES AMICUS BRIEF IN ILLINOIS SLUSA CLASS ACTION ALLEGING NEGLIGENCE BASED ON MARKET TIMING As you may recall, the...

[22698] July 16, 2008 TO: PENSION MEMBERS No. 40-08 BROKER/DEALER ADVISORY COMMITTEE No. 19-08 BANK, TRUST AND RECORDKEEPER ADVISORY COMMITTEE No. 21-08 OPERATIONS COMMITTEE No. 10-08 TRANSFER AGENT ADVISORY COMMITTEE No. 32-08 RE: DOL ADDRESSES MUTUAL FUND REPORTING ISSUES IN...

    [22641]   June 25, 2008 TO: ADVISER DISTRIBUTOR TAX ISSUES TASK FORCE No. 10-08 BANK, TRUST AND RECORDKEEPER ADVISORY COMMITTEE No. 18-08 BROKER/DEALER ADVISORY COMMITTEE No. 18-08 TAX COMMITTEE No. 21-08TRANSFER AGENT ADVISORY COMMITTEE No. 30-08     RE: CONFERENCE CALL SCHEDULED...