Broker/Dealer Advisory Content

[28939] April 29, 2015 TO: PENSION MEMBERS No. 15-15 OPERATIONS MEMBERS No. 15-15 SMALL FUNDS MEMBERS No. 19-15 BANK, TRUST AND RETIREMENT ADVISORY COMMITTEE No. 11-15 BROKER/DEALER ADVISORY COMMITTEE No. 16-15 TRANSFER AGENT ADVISORY COMMITTEE No. 18-15 RE: DEPARTMENT OF LABOR RE...

[28926] April 27, 2015 TO: ACCOUNTING/TREASURERS MEMBERS No. 9-15 BANK, TRUST AND RETIREMENT ADVISORY COMMITTEE No. 10-15 BROKER/DEALER ADVISORY COMMITTEE No. 15-15 CHIEF RISK OFFICER COMMITTEE No. 10-15 CLOSED-END INVESTMENT COMPANY MEMBERS No. 15-15 COMPLIANCE MEMBERS No. 14-15 END...

[28924] April 27, 2015 TO: ACCOUNTING/TREASURERS MEMBERS No. 8-15 BANK, TRUST AND RETIREMENT ADVISORY COMMITTEE No. 9-15 BROKER/DEALER ADVISORY COMMITTEE No. 14-15 CHIEF RISK OFFICER COMMITTEE No. 9-15 CLOSED-END INVESTMENT COMPANY COMMITTEE No. 7-15 COMPLIANCE MEMBERS No. 13-15 END...

  [28866] March 27, 2015 TO: BROKER/DEALER ADVISORY COMMITTEE No. 13-15 TRANSFER AGENT ADVISORY COMMITTEE No. 14-15 RE: ICI LETTER TO FSOC ON ASSET MANAGEMENT PRODUCTS AND ACTIVITIES; TESTIMONY TO CONGRESS ON FSOC ACCOUNTABILITY, TRANSPARENCY As we previously informed you, the...

[28839] March 17, 2015 TO: PENSION MEMBERS No. 10-15 OPERATIONS MEMBERS No. 10-15 BANK, TRUST AND RETIREMENT ADVISORY COMMITTEE No. 8-15 BROKER/DEALER ADVISORY COMMITTEE No. 12-15 TRANSFER AGENT ADVISORY COMMITTEE No. 13-15 RE: IRS PROVIDES TRANSITION RELIEF AND NOTIFICATION OF...

[28820] March 13, 2015 TO: BROKER/DEALER ADVISORY COMMITTEE No. 11-15 RE: BDAC MEETING NOTICE - APRIL 22-23, 2015   The next meeting of the Broker/Dealer Advisory Committee will take place on Wednesday, April 22 and Thursday, April 23, 2015 at the offices of the Investment Company...

[28814] March 11, 2015 TO: ACCOUNTING/TREASURERS MEMBERS No. 5-15 BANK, TRUST AND RETIREMENT ADVISORY COMMITTEE No. 7-15 BROKER/DEALER ADVISORY COMMITTEE No. 10-15 MONEY MARKET FUNDS ADVISORY COMMITTEE No. 10-15 MUNICIPAL SECURITIES ADVISORY COMMITTEE No. 7-15 OPERATIONS MEMBERS No. 9...

[28793] March 4, 2015 TO: SECURITIES OPERATIONS ADVISORY COMMITTEE ACCOUNTING/TREASURERS COMMITTEE No. 5-15 EQUITY MARKETS ADVISORY COMMITTEE No. 3-15 OPERATIONS COMMITTEE No. 7-15 BROKER/DEALER ADVISORY COMMITTEE No. 9-15 BANK, TRUST AND RETIREMENT ADVISORY COMMITTEE No. 6-15...

[28780] February 26, 2015 TO: SEC RULES MEMBERS No. 14-15 COMPLIANCE MEMBERS No. 9-15 SMALL FUNDS MEMBERS No. 9-15 TECHNOLOGY COMMITTEE No. 4-15 CHIEF INFORMATION SECURITY OFFICER ADVISORY COMMITTEE BROKER/DEALER ADVISORY COMMITTEE No. 8-15 TRANSFER AGENT ADVISORY COMMITTEE No. 9-15...

[28735] February 13, 2015 TO: OPERATIONS MEMBERS No. 7-15 BROKER/DEALER ADVISORY COMMITTEE No. 7-15 BANK, TRUST AND RETIREMENT ADVISORY COMMITTEE No. 5-15 SMALL FUNDS MEMBERS No. 5-15 COMPLIANCE MEMBERS No. 6-15 TRANSFER AGENT ADVISORY COMMITTEE No. 8-15 RE: FINRA SANCTIONS BROKER...