Broker/Dealer Advisory Content

[29977] June 15, 2016 TO: BROKER/DEALER ADVISORY COMMITTEE No. 19-16 RE: BDAC MEETING NOTICE - JULY 20-21, 2016   The next meeting of the Broker/Dealer Advisory Committee will take place on Wednesday, July 20 and Thursday, July 21 at J.P. Morgan Asset Management, 1111 Polaris Parkway...

[29973] June 9, 2016 TO: BANK, TRUST AND RETIREMENT ADVISORY COMMITTEE No. 17-16 BROKER/DEALER ADVISORY COMMITTEE No. 18-16 CHIEF INFORMATION SECURITY OFFICER ADVISORY COMMITTEE COMPLIANCE MEMBERS No. 16-16 OPERATIONS MEMBERS No. 16-16 SMALL FUNDS MEMBERS No. 23-16 TECHNOLOGY...

[29969] June 8, 2016 TO: BANK, TRUST AND RETIREMENT ADVISORY COMMITTEE No. 16-16 BROKER/DEALER ADVISORY COMMITTEE No. 17-16 COMPLIANCE MEMBERS No. 15-16 OPERATIONS MEMBERS No. 15-16 TRANSFER AGENT ADVISORY COMMITTEE No. 22-16 RE: ALABAMA ENACTS LAW EFFECTIVE JULY 1, 2016 TO PROTECT...

[29920] May 18, 2016 TO: ACCOUNTING/TREASURERS MEMBERS No. 12-16 BANK, TRUST AND RETIREMENT ADVISORY COMMITTEE No. 15-16 BROKER/DEALER ADVISORY COMMITTEE No. 16-16 CHIEF COMPLIANCE OFFICER COMMITTEE No. 8-16 CHIEF RISK OFFICER COMMITTEE No. 12-16 COMPLIANCE MEMBERS No. 13-16...

[29912] May 16, 2016 TO: AML COMPLIANCE WORKING GROUP No. 2-16 BROKER/DEALER ADVISORY COMMITTEE No. 15-16 INVESTMENT ADVISERS COMMITTEE No. 8-16 OPERATIONS COMMITTEE No. 11-16 SEC RULES COMMITTEE No. 23-16 SMALL FUNDS COMMITTEE No. 14-16 TRANSFER AGENT ADVISORY COMMITTEE No. 19-16 RE...

[29897] May 6, 2016 TO: ACCOUNTING/TREASURERS MEMBERS No. 10-16 BROKER/DEALER ADVISORY COMMITTEE No. 14-16 MONEY MARKET FUNDS ADVISORY COMMITTEE No. 12-16 OPERATIONS MEMBERS No. 12-16 SEC RULES COMMITTEE No. 21-16 SMALL FUNDS MEMBERS No. 18-16 TAX MEMBERS No. 9-16 TRANSFER AGENT...

[29846] April 20, 2016 TO: 4-DECIMAL NAV CALCULATION WORKING GROUP ACCOUNTING/TREASURERS COMMITTEE No. 8-16 BANK, TRUST AND RETIREMENT ADVISORY COMMITTEE No. 13-16 BROKER/DEALER ADVISORY COMMITTEE No. 13-16 INTRADAY PROCESSING WORKING GROUP LIQUIDITY FEES/REDEMPTION GATES WORKING...

[29837] April 13, 2016 TO: PENSION MEMBERS No. 10-16 SEC RULES COMMITTEE No. 17-16 OPERATIONS MEMBERS No. 10-16 SMALL FUNDS MEMBERS No. 14-16 BANK, TRUST AND RETIREMENT ADVISORY COMMITTEE No. 12-16 BROKER/DEALER ADVISORY COMMITTEE No. 12-16 TRANSFER AGENT ADVISORY COMMITTEE No. 16-16...

29831 April 12, 2016 TO: Accounting/Treasurers Members No. 6-16 Bank, Trust and Retirement Advisory Committee No. 11-16 Broker/Dealer Advisory Committee No. 11-16 Compliance Members No. 8-16 End of Day Pricing Forum No. 6-16 Equity Markets Advisory Committee No. 13-16 Investment...

[29823] April 8, 2016 TO: ACCOUNTING/TREASURERS COMMITTEE No. 6-16 BANK, TRUST AND RETIREMENT ADVISORY COMMITTEE No. 10-16 BROKER/DEALER ADVISORY COMMITTEE No. 10-16 EQUITY MARKETS ADVISORY COMMITTEE No. 12-16 INTERNATIONAL OPERATIONS ADVISORY COMMITTEE No. 12-16 OPERATIONS COMMITTEE...