Broker/Dealer Advisory Content

[27158] April 5, 2013 TO: BANK, TRUST AND RETIREMENT ADVISORY COMMITTEE No. 8-13 BROKER/DEALER ADVISORY COMMITTEE No. 16-13 OPERATIONS COMMITTEE No. 14-13 TRANSFER AGENT ADVISORY COMMITTEE No. 26-13 RE: GAO ISSUES REPORT ON 401(K) PLAN ROLLOVERS   The GAO has issued its long awaited...

[27116] March 15, 2013 TO: BROKER/DEALER ADVISORY COMMITTEE No. 15-13 OPERATIONS COMMITTEE No. 13-13 SALES FORCE MARKETING COMMITTEE No. 2-13 RE: NOTICE OF COMMITTEE CONFERENCE CALL: SEC REQUESTS DATA ON POSSIBLE FIDUCIARY DUTY FOR BROKER-DEALERS AND IA-BD HARMONIZATION   As we...

[27107] March 12, 2013 TO: BROKER/DEALER ADVISORY COMMITTEE No. 14-13 RE: DEPARTMENT OF LABOR ISSUES GUIDANCE REGARDING THE SELECTION OF TARGET DATE FUNDS BY PLAN FIDUCIARIES   The Department of Labor recently issued guidance regarding the selection of target date funds (“TDFs”) by...

[27086] March 7, 2013 TO: BROKER/DEALER ADVISORY COMMITTEE No. 13-13 INVESTMENT ADVISER MEMBERS No. 20-13 SEC RULES MEMBERS No. 29-13 SMALL FUNDS MEMBERS No. 22-13 RE: SEC REQUESTS DATA ON POSSIBLE FIDUCIARY DUTY FOR BROKER-DEALERS AND IA-BD HARMONIZATION   The Securities and Exchange...

[27047] February 25, 2013 TO: TRANSFER AGENT ADVISORY COMMITTEE No. 20-13 BROKER/DEALER ADVISORY COMMITTEE No. 12-13 COMPLIANCE MEMBERS No. 13-13 INVESTMENT ADVISER MEMBERS No. 17-13 SMALL FUNDS MEMBERS No. 16-13 RE: SCOPE OF SEC’S NEW MISSING SECURITYHOLDER/UNRESPONSIVE PAYEE RULES...

[27044] February 22, 2013 TO: BROKER/DEALER ADVISORY COMMITTEE No. 11-13 RE: BDAC MEETING NOTICE - APRIL 30 - MAY 1, 2013   The next meeting of the Broker/Dealer Advisory Committee will take place on Tuesday, April 30 and Wednesday, May 1, 2013 at the Marriott Wardman Park Hotel...

[27012] February 14, 2013 TO: TAX MEMBERS No. 10-13 INTERNATIONAL MEMBERS No. 13-13 INTERNATIONAL OPERATIONS ADVISORY COMMITTEE No. 5-13 TRANSFER AGENT ADVISORY COMMITTEE No. 19-13 BROKER/DEALER ADVISORY COMMITTEE No. 10-13 ICI GLOBAL TAX COMMITTEE No. 4-13 RE: FIRST SIGNED MODEL 2...

[26996] February 8, 2013 TO: TAX MEMBERS No. 9-13 INTERNATIONAL MEMBERS No. 10-13 INTERNATIONAL OPERATIONS ADVISORY COMMITTEE No. 4-13 TRANSFER AGENT ADVISORY COMMITTEE No. 18-13 BROKER/DEALER ADVISORY COMMITTEE No. 9-13 ICI GLOBAL MEMBERS RE: FINAL FATCA REGULATIONS - A SUMMARY The...

[26952] January 30, 2013 TO: ACCOUNTING/TREASURERS COMMITTEE No. 5-13 BANK, TRUST AND RETIREMENT ADVISORY COMMITTEE No. 5-13 BROKER/DEALER ADVISORY COMMITTEE No. 8-13 MONEY MARKET FUNDS ADVISORY COMMITTEE No. 5-13 MUNICIPAL SECURITIES ADVISORY COMMITTEE No. 2-13 OPERATIONS COMMITTEE...

[26937] January 24, 2013 TO: TRANSFER AGENT ADVISORY COMMITTEE No. 14-13 BROKER/DEALER ADVISORY COMMITTEE No. 7-13 COMPLIANCE MEMBERS No. 6-13 INVESTMENT ADVISER MEMBERS No. 9-13 SMALL FUNDS MEMBERS No. 9-13 RE: SEC ANNOUNCES DATES FOR ITS NEW “MISSING SECURITYHOLDER” RULES...