Broker/Dealer Advisory Content

[27627] October 7, 2013 TO: BROKER/DEALER ADVISORY COMMITTEE No. 46-13 RE: MARK YOUR CALENDAR - BDAC 2014 MEETING SCHEDULE   The Broker/Dealer Advisory Committee 2014 meeting schedule has been finalized.  Please mark your calendars for the following meeting dates: January 22-23...

[27573] September 19, 2013 TO: ACCOUNTING/TREASURERS COMMITTEE No. 27-13 BANK, TRUST AND RETIREMENT ADVISORY COMMITTEE No. 33-13 BROKER/DEALER ADVISORY COMMITTEE No. 45-13 MONEY MARKET FUNDS ADVISORY COMMITTEE No. 25-13 MUNICIPAL SECURITIES ADVISORY COMMITTEE No. 25-13 OPERATIONS...

[27565] September 16, 2013 TO: PENSION MEMBERS No. 44-13 BANK, TRUST AND RETIREMENT ADVISORY COMMITTEE No. 32-13 BROKER/DEALER ADVISORY COMMITTEE No. 44-13 OPERATIONS COMMITTEE No. 46-13 TRANSFER AGENT ADVISORY COMMITTEE No. 70-13 RE: DOL OPINES ON USE OF SUMMARY PROSPECTUS TO SATISFY...

[27558] September 12, 2013 TO: ACCOUNTING/TREASURERS MEMBERS No. 26-13 INVESTMENT COMPANY DIRECTORS No. 17-13 OPERATIONS MEMBERS No. 18-13 SEC RULES MEMBERS No. 85-13 SMALL FUNDS MEMBERS No. 52-13 TAX MEMBERS No. 29-13 BANK, TRUST AND RETIREMENT ADVISORY COMMITTEE No. 31-13 BROKER...

[27556] September 11, 2013 TO: BANK, TRUST AND RETIREMENT ADVISORY COMMITTEE No. 30-13 BROKER/DEALER ADVISORY COMMITTEE No. 42-13 OPERATIONS COMMITTEE No. 45-13 TRANSFER AGENT ADVISORY COMMITTEE No. 68-13 RE: SEC, FINRA, AND CFTC ISSUE STAFF ADVISORY AND BEST PRACTICES RELATING TO...

[27539] September 4, 2013 TO: BANK, TRUST AND RETIREMENT ADVISORY COMMITTEE No. 29-13 BROKER/DEALER ADVISORY COMMITTEE No. 41-13 OPERATIONS COMMITTEE No. 44-13 SECURITIES OPERATIONS ADVISORY GROUP TRANSFER AGENT ADVISORY COMMITTEE No. 67-13 RE: SEC PUBLISHES RISK ALERT ON INVESTMENT...

[27532] August 30, 2013 TO: ACCOUNTING/TREASURERS COMMITTEE No. 25-13 BANK, TRUST AND RETIREMENT ADVISORY COMMITTEE No. 27-13 BROKER/DEALER ADVISORY COMMITTEE No. 40-13 MONEY MARKET FUNDS ADVISORY COMMITTEE No. 18-13 MUNICIPAL SECURITIES ADVISORY COMMITTEE No. 21-13 OPERATIONS...

[27525] August 29, 2013 TO: BROKER/DEALER ADVISORY COMMITTEE No. 39-13 RE: BDAC MEETING NOTICE - OCTOBER 23-24, 2013   The next meeting of the Broker/Dealer Advisory Committee will take place on Wednesday, October 23 and Thursday, October 24, 2013 at the offices of Investment Company...

[27523] August 28, 2013 TO: ACCOUNTING/TREASURERS COMMITTEE No. 24-13 BANK, TRUST AND RETIREMENT ADVISORY COMMITTEE No. 26-13 BROKER/DEALER ADVISORY COMMITTEE No. 38-13 CLOSED-END INVESTMENT COMPANY COMMITTEE No. 20-13 OPERATIONS COMMITTEE No. 41-13 TAX COMMITTEE No. 25-13 TRANSFER...

[27455] August 12, 2013 TO: ACCOUNTING/TREASURERS COMMITTEE No. 22-13 BROKER/DEALER ADVISORY COMMITTEE No. 37-13 PRINCIPAL UNDERWRITERS WORKING GROUP RE: SEC REVISES ANNUAL FINANCIAL REPORTING REQUIREMENTS FOR BROKER-DEALERS AND IMPOSES NEW REPORT FILING REQUIREMENTS   The SEC has...