Broker/Dealer Advisory Content

[26932] January 18, 2013 TO: TAX MEMBERS No. 7-13 INTERNATIONAL MEMBERS No. 8-13 INTERNATIONAL OPERATIONS ADVISORY COMMITTEE No. 3-13 TRANSFER AGENT ADVISORY COMMITTEE No. 12-13 BROKER/DEALER ADVISORY COMMITTEE No. 6-13 ICI GLOBAL MEMBERS RE: FINAL FATCA REGULATIONS HIGHLIGHTS The...

[26906] January 17, 2013 TO: TAX MEMBERS No. 6-13 INTERNATIONAL MEMBERS No. 7-13 INTERNATIONAL OPERATIONS ADVISORY COMMITTEE No. 2-13 TRANSFER AGENT ADVISORY COMMITTEE No. 11-13 BROKER/DEALER ADVISORY COMMITTEE No. 5-13 ICI GLOBAL MEMBERS RE: FINAL FATCA REGULATIONS RELEASED The...

[26874] January 14, 2013 TO: OPERATIONS COMMITTEE No. 6-13 TRANSFER AGENT ADVISORY COMMITTEE No. 9-13 BROKER/DEALER ADVISORY COMMITTEE No. 4-13 BANK, TRUST AND RETIREMENT ADVISORY COMMITTEE No. 4-13 RE: ICI LETTER ON CFTC’S PROPOSAL TO ENHANCE PROTECTIONS AFFORDED CUSTOMERS AND...

[26862] January 11, 2013 TO: ACCOUNTING/TREASURERS COMMITTEE No. 2-13 BANK, TRUST AND RETIREMENT ADVISORY COMMITTEE No. 3-13 BROKER/DEALER ADVISORY COMMITTEE No. 3-13 MONEY MARKET FUNDS ADVISORY COMMITTEE No. 2-13 MUNICIPAL SECURITIES ADVISORY COMMITTEE No. 1-13 OPERATIONS COMMITTEE...

[26848] January 8, 2013 TO: BDAC COST BASIS REPORTING TASK FORCE No. 1-13 BANK, TRUST AND RETIREMENT ADVISORY COMMITTEE No. 2-13 BROKER/DEALER ADVISORY COMMITTEE No. 2-13 OPERATIONS COMMITTEE No. 3-13 SMALL FUNDS COMMITTEE No. 1-13 TAAC COST BASIS REPORTING TASK FORCE No. 1-13 TAX...

[26838] January 7, 2013 TO: PENSION MEMBERS No. 6-13 BANK, TRUST AND RETIREMENT ADVISORY COMMITTEE No. 1-13 BROKER/DEALER ADVISORY COMMITTEE No. 1-13 OPERATIONS COMMITTEE No. 2-13 TRANSFER AGENT ADVISORY COMMITTEE No. 5-13 RE: DEPARTMENT OF LABOR ISSUES UPDATED REGULATORY AGENDA   The...

[26805] December 24, 2012 TO: TRANSFER AGENT ADVISORY COMMITTEE No. 81-12 BROKER/DEALER ADVISORY COMMITTEE No. 68-12 COMPLIANCE MEMBERS No. 29-12 INVESTMENT ADVISER MEMBERS No. 53-12 SMALL FUNDS MEMBERS No. 43-12 RE: SEC ADOPTS “MISSING SECURITYHOLDER” RULES AS REQUIRED BY THE DODD...

[26778] December 19, 2012 TO: BROKER/DEALER ADVISORY COMMITTEE No. 67-12 INTERNATIONAL MEMBERS No. 55-12 INTERNATIONAL OPERATIONS ADVISORY COMMITTEE No. 24-12 OPERATIONS MEMBERS No. 10-12 TAAC FATCA TASK FORCE No. 14-12 TAX MEMBERS No. 43-12 TRANSFER AGENT ADVISORY COMMITTEE No. 79-12...

[26731] November 29, 2012 TO: BROKER/DEALER ADVISORY COMMITTEE No. 66-12 RE: BDAC MEETING NOTICE - JANUARY 23-24, 2013   The next meeting of the Broker/Dealer Advisory Committee will take place on Wednesday, January 23 and Thursday, January 24, 2013 at the offices of Franklin...

[26728] November 28, 2012 TO: TRANSFER AGENT ADVISORY COMMITTEE No. 76-12 BROKER/DEALER ADVISORY COMMITTEE No. 65-12 BANK, TRUST AND RETIREMENT ADVISORY COMMITTEE No. 59-12 SECURITIES OPERATIONS ADVISORY GROUP RE: ICI SUBMITS LETTER TO NATIONAL FUTURES ASSOCIATION ON BYLAW 1101...