Broker/Dealer Advisory Content

  [21412]   July 31, 2007 TO: BANK, TRUST AND RECORDKEEPER ADVISORY COMMITTEE No. 26-07 BROKER/DEALER ADVISORY COMMITTEE No. 44-07 OPERATIONS COMMITTEE No. 20-07 PENSION OPERATIONS ADVISORY COMMITTEE No. 22-07 SMALL FUNDS COMMITTEE No. 29-07 TRANSFER AGENT ADVISORY COMMITTEE No. 44-07...

    [21396]   July 27, 2007 TO: PENSION MEMBERS No. 44-07 FEDERAL LEGISLATION MEMBERS No. 4-07 BANK, TRUST AND RECORDKEEPER ADVISORY COMMITTEE No. 25-07 BROKER/DEALER ADVISORY COMMITTEE No. 43-07 OPERATIONS COMMITTEE No. 19-07 RE: REP. MILLER INTRODUCES 401(k) DISCLOSURE BILL  ...

    [21394]   July 27, 2007 TO: BROKER/DEALER ADVISORY COMMITTEE No. 42-07 COMPLIANCE MEMBERS No. 39-07 SEC RULES MEMBERS No. 93-07 SMALL FUNDS MEMBERS No. 61-07 RE: REGISTERED BROKER-DEALER SETTLES WITH NYSE REGULATION FOR MARKET TIMING   NYSE Regulation, Inc. announced that it has...

    [21387]   July 24, 2007 TO: PENSION MEMBERS No. 41-07 BANK, TRUST AND RECORDKEEPER ADVISORY COMMITTEE No. 24-07 BROKER/DEALER ADVISORY COMMITTEE No. 41-07 OPERATIONS COMMITTEE No. 18-07 RE: JOINT TRADE ASSOCIATION SUBMISSION TO DOL ON PARTICIPANT DISCLOSURE   The Investment...

    [21386]   July 24, 2007 TO: BROKER/DEALER ADVISORY COMMITTEE No. 40-07 RE: BDAC MEETING SUMMARY, MAY 16-17, 2007   Attached is a summary of the Broker/Dealer Advisory Committee meeting held on May 16-17, 2007 in Philadelphia, PA.  Please contact me at 202-326-5930 or kjoaquin@ici...

    [21384]   July 23, 2007 TO: BANK, TRUST AND RECORDKEEPER ADVISORY COMMITTEE No. 23-07 BROKER/DEALER ADVISORY COMMITTEE No. 39-07 OPERATIONS COMMITTEE No. 17-07 RE: INSTITUTE RESPONSE TO DOL REQUEST FOR INFORMATION ON DISCLOSURE OF FEES IN PARTICIPANT DIRECTED PLANS   Attached is...

    [21378]   July 20, 2007 TO: BOARD OF GOVERNORS No. 19-07 BANK, TRUST AND RECORDKEEPER ADVISORY COMMITTEE No. 22-07 BROKER/DEALER ADVISORY COMMITTEE No. 38-07 OPERATIONS MEMBERS No. 12-07 SEC RULES MEMBERS No. 89-07 SMALL FUNDS MEMBERS No. 58-07 TAX MEMBERS No. 30-07 TECHNOLOGY...

    [21367]   July 17, 2007 TO: OPERATIONS COMMITTEE No. 16-07 TRANSFER AGENT ADVISORY COMMITTEE No. 42-07 BANK, TRUST AND RECORDKEEPER ADVISORY COMMITTEE No. 21-07 BROKER/DEALER ADVISORY COMMITTEE No. 37-07 RE: RULE 22C-2 SURVEY II RESULTS   The Transfer Agent Advisory Committee (...

    [21364]   July 16, 2007 TO: COMPLIANCE MEMBERS No. 35-07 SEC RULES MEMBERS No. 84-07 SMALL FUNDS MEMBERS No. 56-07 BROKER/DEALER ADVISORY COMMITTEE No. 35-07 RE: PARTIES ENTER INTO STIPULATION OF SETTLEMENT TO RESOLVE PENDING CLASS ACTION CASE INVOLVING REVENUE SHARING...

    [21361]   July 16, 2007 TO: COMPLIANCE MEMBERS No. 36-07 SEC RULES MEMBERS No. 85-07 SMALL FUNDS MEMBERS No. 57-07 BROKER/DEALER ADVISORY COMMITTEE No. 36-07 RE: NASD FINES FIRM FOR IMPROPER DIRECTED BROKERAGE ARRANGEMENTS   The NASD has announced the settlement of charges against...