Broker/Dealer Advisory Content

    [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...

    <[20780]   January 11, 2007 TO: BROKER/DEALER ADVISORY COMMITTEE No. 2-07     RE: BDAC MEETING SUMMARY, OCTOBER 8, 2006   Attached is a summary of the Broker/Dealer Advisory Committee meeting held on October 8, 2006 in Huntington Beach, CA.  Please contact me at 202-326-5930 or...

    [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. [20700] December 18, 2006 TO: BROKER/DEALER ADVISORY...

©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. [20677] December 11, 2006 TO: BOARD OF GOVERNORS No. 29-06...

©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. [20669] December 8, 2006 TO: COMPLIANCE MEMBERS No. 49-06...

©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. [20610] November 27, 2006 TO: BROKER/DEALER ADVISORY...

©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. [20592] November 17, 2006 TO: BROKER/DEALER ADVISORY...