Broker/Dealer Advisory Content

February 7, 2012: This memo has been deleted. A replacement will be issued shortly.

  [25852] January 27, 2012 TO: BANK, TRUST AND RETIREMENT ADVISORY COMMITTEE No. 3-12 BROKER/DEALER ADVISORY COMMITTEE No. 3-12 RE: 408(B)(2) FINAL REGULATION MAY COME IN TWO PARTS   Based on the update the Department of Labor just published of its Fall 2011 Regulatory Agenda, [1] it...

ACTION REQUESTED [25784] January 10, 2012 TO: BANK, TRUST AND RETIREMENT ADVISORY COMMITTEE No. 2-12 BROKER/DEALER ADVISORY COMMITTEE No. 2-12 TAX COMMITTEE No. 5-12 TRANSFER AGENT ADVISORY COMMITTEE No. 2-12 PENSION COMMITTEE No. 2-12 PENSION OPERATIONS ADVISORY COMMITTEE No. 2-12 RE...

[25781] January 10, 2012 TO: BDAC COST BASIS REPORTING TASK FORCE No. 1-12 BANK, TRUST AND RETIREMENT ADVISORY COMMITTEE No. 1-12 BROKER/DEALER ADVISORY COMMITTEE No. 1-12 OPERATIONS COMMITTEE No. 1-12 SMALL FUNDS COMMITTEE No. 1-12 TAX COMMITTEE No. 4-12 TRANSFER AGENT ADVISORY...

[25755] December 28, 2011 TO: BANK, TRUST AND RETIREMENT ADVISORY COMMITTEE No. 83-11 BROKER/DEALER ADVISORY COMMITTEE No. 87-11 CLOSED-END INVESTMENT COMPANY COMMITTEE No. 57-11 COMPLIANCE MEMBERS No. 47-11 FIXED-INCOME ADVISORY COMMITTEE No. 82-11 INVESTMENT ADVISER MEMBERS No. 20...

[25748] December 27, 2011 TO: BANK, TRUST AND RETIREMENT ADVISORY COMMITTEE No. 81-11 BROKER/DEALER ADVISORY COMMITTEE No. 86-11 RE: SAMPLE GLOSSARY FOR USE IN MEETING DOL PARTICIPANT DISCLOSURE RULES   ICI and the SPARK Institute developed the attached sample glossary of investment...

[25733] December 21, 2011 TO: BDAC COST BASIS REPORTING TASK FORCE No. 41-11 BANK, TRUST AND RETIREMENT ADVISORY COMMITTEE No. 80-11 BROKER/DEALER ADVISORY COMMITTEE No. 85-11 OPERATIONS COMMITTEE No. 53-11 SMALL FUNDS COMMITTEE No. 56-11 TAX COMMITTEE No. 79-11 TRANSFER AGENT...

  [25721] December 16, 2011 TO: PENSION MEMBERS No. 69-11 BANK, TRUST AND RETIREMENT ADVISORY COMMITTEE No. 79-11 BROKER/DEALER ADVISORY COMMITTEE No. 84-11 RE: IRS PROVIDES TEMPORARY RELIEF FOR IRAs WITH INDEMNIFICATION AGREEMENTS AND/OR GRANTS OF SECURITY INTERESTS   The Internal...

  [25694] December 8, 2011 TO: BDAC COST BASIS REPORTING TASK FORCE No. 40-11 BANK, TRUST AND RETIREMENT ADVISORY COMMITTEE No. 77-11 BROKER/DEALER ADVISORY COMMITTEE No. 83-11 OPERATIONS COMMITTEE No. 51-11 SMALL FUNDS COMMITTEE No. 54-11 TAX COMMITTEE No. 77-11 TRANSFER AGENT...

  [25690] December 6, 2011 TO: BDAC COST BASIS REPORTING TASK FORCE No. 39-11 BANK, TRUST AND RETIREMENT ADVISORY COMMITTEE No. 76-11 BROKER/DEALER ADVISORY COMMITTEE No. 81-11 OPERATIONS COMMITTEE No. 50-11 PENSION COMMITTEE No. 31-11 SMALL FUNDS COMMITTEE No. 53-11 TAX COMMITTEE No...