Broker/Dealer Advisory Content

[26612] October 25, 2012 TO: BDAC COST BASIS REPORTING TASK FORCE No. 13-12 BANK, TRUST AND RETIREMENT ADVISORY COMMITTEE No. 48-12 BROKER/DEALER ADVISORY COMMITTEE No. 54-12 OPERATIONS COMMITTEE No. 39-12 SMALL FUNDS COMMITTEE No. 24-12 TAX COMMITTEE No. 45-12 TRANSFER AGENT ADVISORY...

[26609] October 24, 2012 TO: TAX MEMBERS No. 38-12 INTERNATIONAL MEMBERS No. 47-12 INTERNATIONAL OPERATIONS ADVISORY COMMITTEE No. 20-12 OPERATIONS MEMBERS No. 5-12 TRANSFER AGENT ADVISORY COMMITTEE No. 64-12 BROKER/DEALER ADVISORY COMMITTEE No. 53-12 BANK, TRUST AND RETIREMENT...

[26602] October 23, 2012 TO: TAX MEMBERS No. 36-12 INTERNATIONAL MEMBERS No. 45-12 INTERNATIONAL OPERATIONS ADVISORY COMMITTEE No. 19-12 OPERATIONS MEMBERS No. 4-12 TRANSFER AGENT ADVISORY COMMITTEE No. 63-12 BROKER/DEALER ADVISORY COMMITTEE No. 52-12 BANK, TRUST AND RETIREMENT...

  [26590] October 18, 2012 TO: OPERATIONS COMMITTEE No. 38-12 BROKER/DEALER ADVISORY COMMITTEE No. 51-12 BANK, TRUST AND RETIREMENT ADVISORY COMMITTEE No. 45-12 TRANSFER AGENT ADVISORY COMMITTEE No. 62-12 RE: CFTC FILES SUPPLEMENTAL BRIEF IN LAWSUIT CHALLENGING AMENDMENTS TO RULE 4.5...

  [26567] October 9, 2012 TO: OPERATIONS COMMITTEE No. 36-12 BROKER/DEALER ADVISORY COMMITTEE No. 50-12 BANK, TRUST AND RETIREMENT ADVISORY COMMITTEE No. 44-12 TRANSFER AGENT ADVISORY COMMITTEE No. 60-12 RE: ORAL ARGUMENT IN LAWSUIT CHALLENGING AMENDMENTS TO RULE 4.5   On October 5...

  [26560] October 8, 2012 TO: BROKER/DEALER ADVISORY COMMITTEE No. 49-12 PENSION COMMITTEE No. 30-12 TRANSFER AGENT ADVISORY COMMITTEE No. 58-12 RE: NEW FLORIDA LAW PROHIBITS PAYING ACCOUNT PROCEEDS TO AN EX-SPOUSE WHO IS A BENEFICIARY OF A DECEDENT   Effective July 1, 2012, Florida...

[26539] September 28, 2012 TO: BROKER/DEALER ADVISORY COMMITTEE No. 48-12 COMPLIANCE MEMBERS No. 14-12 INVESTMENT ADVISER MEMBERS No. 31-12 SEC RULES MEMBERS No. 86-12 RE: SEC STAFF PUBLISHES REPORT ON BROKER-DEALERS' INSIDER TRADING PRACTICES   The staff of the Securities and...

[26517] September 24, 2012 TO: BANK, TRUST AND RETIREMENT ADVISORY COMMITTEE No. 42-12 BROKER/DEALER ADVISORY COMMITTEE No. 47-12 CLOSED-END INVESTMENT COMPANY COMMITTEE No. 33-12 COMPLIANCE ADVISORY COMMITTEE No. 3-12 FIXED-INCOME ADVISORY COMMITTEE No. 21-12 INVESTMENT ADVISERS...

[26511] September 19, 2012 TO: PENSION MEMBERS No. 31-12 OPERATIONS COMMITTEE No. 34-12 BANK, TRUST AND RETIREMENT ADVISORY COMMITTEE No. 41-12 BROKER/DEALER ADVISORY COMMITTEE No. 46-12 TRANSFER AGENT ADVISORY COMMITTEE No. 56-12 RE: DOL ACTIVATES 408(b)(2) NON-COMPLIANT PROVIDER...

[26503] September 17, 2012 TO: TAX COMMITTEE No. 42-12 ICI GLOBAL TAX COMMITTEE No. 12-12 INTERNATIONAL COMMITTEE No. 35-12 OPERATIONS COMMITTEE No. 32-12 BROKER/DEALER ADVISORY COMMITTEE No. 45-12 BANK, TRUST AND RETIREMENT ADVISORY COMMITTEE No. 40-12 TRANSFER AGENT ADVISORY...