Broker/Dealer Advisory Content

    [22019]   December 6, 2007 TO: FEDERAL LEGISLATION MEMBERS No. 12-07 TAX MEMBERS No. 53-07 OPERATIONS MEMBERS No. 27-07 SMALL FUNDS MEMBERS No. 109-07 BANK, TRUST AND RECORDKEEPER ADVISORY COMMITTEE No. 54-07 BROKER/DEALER ADVISORY COMMITTEE No. 74-07 TRANSFER AGENT ADVISORY...

  [22002]   November 30, 2007 TO: SEC RULES MEMBERS No. 149-07 SMALL FUNDS MEMBERS No. 108-07 OPERATIONS MEMBERS No. 26-07 BANK, TRUST AND RECORDKEEPER ADVISORY COMMITTEE No. 52-07 INVESTMENT COMPANY DIRECTORS No. 27-07 ACCOUNTING/TREASURERS COMMITTEE No. 23-07 SHAREHOLDER...

    [21967]   November 20, 2007 TO: BROKER/DEALER ADVISORY COMMITTEE No. 72-07 OPERATIONS COMMITTEE No. 31-07 TRANSFER AGENT ADVISORY COMMITTEE No. 82-07 RE: DEPARTMENT OF LABOR RELEASES FINAL FORM 5500; CONFERENCE CALL SCHEDULED FOR DECEMBER 5 AT 3:30 PM ET   The Department of Labor...

    [21952]   November 14, 2007 TO: BANK, TRUST AND RECORDKEEPER ADVISORY COMMITTEE No. 50-07 BROKER/DEALER ADVISORY COMMITTEE No. 71-07 FEDERAL LEGISLATION MEMBERS No. 11-07 INTERNATIONAL MEMBERS No. 33-07 OPERATIONS MEMBERS No. 25-07 PENSION MEMBERS No. 67-07 SMALL FUNDS MEMBERS No...

  [21911]   October 31, 2007 TO: PENSION MEMBERS No. 62-07 FEDERAL LEGISLATION MEMBERS No. 10-07 BANK, TRUST AND RECORDKEEPER ADVISORY COMMITTEE No. 48-07 BROKER/DEALER ADVISORY COMMITTEE No. 70-07 OPERATIONS COMMITTEE No. 30-07 RE: INSTITUTE URGES MAKING 401(k) DISCLOSURE MORE...

  [21898]   October 26, 2007 TO: BANK, TRUST AND RECORDKEEPER ADVISORY COMMITTEE No. 47-07 BROKER/DEALER ADVISORY COMMITTEE No. 69-07 FEDERAL LEGISLATION MEMBERS No. 9-07 INTERNATIONAL MEMBERS No. 29-07 OPERATIONS MEMBERS No. 23-07 PENSION MEMBERS No. 61-07 SMALL FUNDS MEMBERS No. 101...

  [21890]   October 24, 2007 TO: ACCOUNTING/TREASURERS MEMBERS No. 34-07 BROKER/DEALER ADVISORY COMMITTEE No. 68-07 COMPLIANCE MEMBERS No. 63-07 OPERATIONS MEMBERS No. 22-07 SEC RULES MEMBERS No. 141-07 TRANSFER AGENT ADVISORY COMMITTEE No. 76-07 RE: AICPA ISSUES GUIDANCE FOR AUDITORS...

  [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...