Broker/Dealer Advisory Content

[27795] December 18, 2013 TO: PENSION MEMBERS No. 62-13 OPERATIONS COMMITTEE No. 59-13 BANK, TRUST AND RETIREMENT ADVISORY COMMITTEE No. 45-13 BROKER/DEALER ADVISORY COMMITTEE No. 56-13 TRANSFER AGENT ADVISORY COMMITTEE No. 88-13 RE: INSTITUTE LETTER TO DOL ON TIMING OF ANNUAL...

[27772] December 13, 2013 TO: BROKER/DEALER ADVISORY COMMITTEE No. 55-13 RE: BDAC MEETING NOTICE - JANUARY 22-23, 2014   The next meeting of the Broker/Dealer Advisory Committee will take place on Wednesday, January 22 and Thursday, January 23, 2014 at the offices of Vanguard located...

[27744] December 5, 2013 TO: BANK, TRUST AND RETIREMENT ADVISORY COMMITTEE No. 42-13 BROKER/DEALER ADVISORY COMMITTEE No. 54-13 OPERATIONS COMMITTEE No. 55-13 SMALL FUNDS COMMITTEE No. 22-13 TRANSFER AGENT ADVISORY COMMITTEE No. 84-13 RE: INSTITUTE PUBLISHES RESULTS FROM THE 2013...

[27733] November 29, 2013 TO: ACCOUNTING/TREASURERS MEMBERS No. 28-13 TAX MEMBERS No. 34-13 TRANSFER AGENT ADVISORY COMMITTEE No. 82-13 BROKER/DEALER ADVISORY COMMITTEE No. 53-13 COMPLIANCE MEMBERS No. 44-13 SEC RULES MEMBERS No. 108-13 SMALL FUNDS MEMBERS No. 62-13 CLOSED-END...

[27694] November 12, 2013 TO: BANK, TRUST AND RETIREMENT ADVISORY COMMITTEE No. 39-13 BROKER/DEALER ADVISORY COMMITTEE No. 51-13 OPERATIONS COMMITTEE No. 52-13 TRANSFER AGENT ADVISORY COMMITTEE No. 80-13 RE: STATUS OF ICI COMMITTEE WORK ON BUSINESS CONTINUITY AND UNSCHEDULED MARKET...

[27695] November 12, 2013 TO: BROKER/DEALER ADVISORY COMMITTEE No. 52-13 CLOSED-END INVESTMENT COMPANY MEMBERS No. 91-13 DERIVATIVES MARKETS ADVISORY COMMITTEE No. 78-13 INVESTMENT ADVISER MEMBERS No. 72-13 OPERATIONS COMMITTEE No. 53-13 SEC RULES MEMBERS No. 102-13 TRANSFER AGENT...

[27684] November 7, 2013 TO: BANK, TRUST AND RETIREMENT ADVISORY COMMITTEE No. 38-13 BROKER/DEALER ADVISORY COMMITTEE No. 50-13 OPERATIONS COMMITTEE No. 51-13 TRANSFER AGENT ADVISORY COMMITTEE No. 78-13 RE: INSTITUTE PUBLISHED TWO STUDIES FOCUSED ON RETIREMENT SAVERS IN THE WAKE OF...

[27678] November 4, 2013 TO: ACCOUNTING/TREASURERS COMMITTEE No. 29-13 BANK, TRUST AND RETIREMENT ADVISORY COMMITTEE No. 37-13 BOARD OF GOVERNORS No. 14-13 BROKER/DEALER ADVISORY COMMITTEE No. 49-13 CLOSED-END INVESTMENT COMPANY MEMBERS No. 89-13 ETF (EXCHANGE-TRADED FUNDS) COMMITTEE...

[27661] October 30, 2013 TO: TAX MEMBERS No. 31-13 INTERNATIONAL MEMBERS No. 52-13 INTERNATIONAL OPERATIONS ADVISORY COMMITTEE No. 14-13 TRANSFER AGENT ADVISORY COMMITTEE No. 76-13 BROKER/DEALER ADVISORY COMMITTEE No. 48-13 ICI GLOBAL TAX COMMITTEE No. 21-13 TAAC FATCA TASK FORCE No...

[27637] October 14, 2013 TO: BANK, TRUST AND RETIREMENT ADVISORY COMMITTEE No. 36-13 BROKER/DEALER ADVISORY COMMITTEE No. 47-13 RE: SURVEY RESULTS - BDAC/BTRAC BCP STEERING COMMITTEE TRANSFERS SUBGROUP SURVEY ON ACATS-FUND/SERV PRACTICES DURING AN UNEXPECTED MARKET CLOSE   The Broker...