Broker/Dealer Advisory Content

    [21238]   June 13, 2007 TO: BANK, TRUST AND RECORDKEEPER ADVISORY COMMITTEE No. 15-07 BROKER/DEALER ADVISORY COMMITTEE No. 24-07 TAX COMMITTEE No. 26-07 TRANSFER AGENT ADVISORY COMMITTEE No. 32-07     RE: CONFERENCE CALL TO DISCUSS ICI SUBMISSION TO SENATE FINANCE COMMITTEE ON...

    [21199]   May 31, 2007 TO: OPERATIONS COMMITTEE No. 9-07 TRANSFER AGENT ADVISORY COMMITTEE No. 28-07 BANK, TRUST AND RECORDKEEPER ADVISORY COMMITTEE No. 13-07 BROKER/DEALER ADVISORY COMMITTEE No. 23-07 SMALL FUNDS COMMITTEE No. 19-07 TECHNOLOGY ADVISORY COMMITTEE No. 14-07 RE...

[21180]   May 24, 2007 TO: BROKER/DEALER ADVISORY COMMITTEE No. 22-07 RE: BDAC MEETING NOTICE - JULY 25-26, 2007   The next meeting of the Broker/Dealer Advisory Committee will take place on Wednesday, July 25 and Thursday, July 26, 2007 at the Putnam Investment offices at One Post...

    [21149]   May 15, 2007 TO: BROKER/DEALER ADVISORY COMMITTEE No. 21-07     RE: BDAC MEETING SUMMARY, MARCH 21 - 22, 2007   Attached is a summary of the Broker/Dealer Advisory Committee meeting held on March 21-22, 2007 in Denver, CO.  Please contact me at 202-326-5930 or kjoaquin...

    [21086]   April 27, 2007 TO: BANK, TRUST AND RECORDKEEPER ADVISORY COMMITTEE No. 11-07 BROKER/DEALER ADVISORY COMMITTEE No. 20-07     RE: DOL REQUESTS INFORMATION ON FEE AND EXPENSE DISCLOSURE TO 401(K) PARTICIPANTS: CONFERENCE CALL SCHEDULED FOR TUESDAY, MAY 1 AT 2:30 PM ET    ...

    [21003]   March 29, 2007 TO: BROKER/DEALER ADVISORY COMMITTEE No. 18-07     RE: BDAC MEETING NOTICE - MAY 16-17, 2007   The next meeting of the Broker/Dealer Advisory Committee will take place on Wednesday, May 16 and Thursday, May 17, 2007 at the Delaware Investments office at...

    [20992]   March 26, 2007 TO: BROKER/DEALER ADVISORY COMMITTEE No. 17-07     RE: BDAC MEETING SUMMARY, JANUARY 24 - 25, 2007   Attached is a summary of the Broker/Dealer Advisory Committee meeting held on January 24-25, 2007 in St. Petersburg, FL.  Please contact me at 202-326-5930...

    [20961]   March 15, 2007 TO: SEC RULES COMMITTEE No. 27-07 CHIEF COMPLIANCE OFFICER COMMITTEE No. 6-07 COMPLIANCE ADVISORY COMMITTEE No. 5-07 BROKER/DEALER ADVISORY COMMITTEE No. 16-07     RE: DRAFT ICI COMMENT LETTER ON PROPOSED HARMONIZATION OF NASD AND NYSE DEFINITIONS OF...

    [20905]   February 28, 2007 TO: COMPLIANCE MEMBERS No. 11-07 BROKER/DEALER ADVISORY COMMITTEE No. 15-07 SEC RULES MEMBERS No. 25-07 SMALL FUNDS MEMBERS No. 18-07 SALES FORCE MARKETING COMMITTEE No. 4-07     RE: STATE OF WASHINGTON FINES FUND DISTRIBUTOR FOR VIOLATIONS OF THE...

    [20898]   February 23, 2007 TO: SEC RULES COMMITTEE No. 18-07 CHIEF COMPLIANCE OFFICER COMMITTEE No. 4-07 COMPLIANCE ADVISORY COMMITTEE No. 2-07 BROKER/DEALER ADVISORY COMMITTEE No. 14-07     RE: NASD REQUESTS COMMENT ON PROPOSED HARMONIZATION OF NASD AND NYSE DEFINITION OF...