Broker/Dealer Advisory Content

[25516] September 23, 2011 TO: TAX COMMITTEE No. 60-11 TRANSFER AGENT ADVISORY COMMITTEE No. 81-11 BANK, TRUST AND RETIREMENT ADVISORY COMMITTEE No. 57-11 BROKER/DEALER ADVISORY COMMITTEE No. 61-11 OPERATIONS COMMITTEE No. 36-11 ACCOUNTING/TREASURERS COMMITTEE No. 14-11 CLOSED-END...

[25507] September 20, 2011 TO: BDAC COST BASIS REPORTING TASK FORCE No. 26-11 BROKER/DEALER ADVISORY COMMITTEE No. 60-11 OPERATIONS COMMITTEE No. 35-11 SMALL FUNDS COMMITTEE No. 38-11 TAX COMMITTEE No. 58-11 TRANSFER AGENT ADVISORY COMMITTEE No. 80-11 BANK, TRUST AND RETIREMENT...

  [25499] September 19, 2011 TO: BROKER/DEALER ADVISORY COMMITTEE No. 59-11 RE: DOL ISSUES RESTRICTIVE INTERIM POLICY ON E-DISCLOSURE FOR THE NEW PARTICIPANT DISCLOSURE RULE   The Department of Labor issued interim guidance that would allow plans to deliver new participant disclosures...

  [25488] September 15, 2011 TO: BDAC COST BASIS REPORTING TASK FORCE No. 25-11 BANK, TRUST AND RETIREMENT ADVISORY COMMITTEE No. 54-11 BROKER/DEALER ADVISORY COMMITTEE No. 58-11 OPERATIONS COMMITTEE No. 33-11 SMALL FUNDS COMMITTEE No. 37-11 TAX COMMITTEE No. 55-11 TRANSFER AGENT...

  URGENT/ACTION REQUESTED [25484] September 14, 2011 TO: SEC RULES MEMBERS No. 113-11 COMPLIANCE MEMBERS No. 39-11 OPERATIONS MEMBERS No. 21-11 SMALL FUNDS MEMBERS No. 59-11 BROKER/DEALER ADVISORY COMMITTEE No. 57-11 INVESTMENT ADVISER MEMBERS No. 19-11 BANK, TRUST AND RETIREMENT...

[25477] September 13, 2011 TO: BROKER/DEALER ADVISORY COMMITTEE No. 56-11 INVESTMENT ADVISER MEMBERS No. 18-11 PENSION MEMBERS No. 51-11 SEC RULES MEMBERS No. 112-11 RE: ICI SUBMITS STATEMENT FOR RECORD AT HEARING ON INVESTMENT ADVISER AND BROKER-DEALER REGULATORY OVERSIGHT   On...

  [25472] September 8, 2011 TO: BDAC COST BASIS REPORTING TASK FORCE No. 24-11 BANK, TRUST AND RECORDKEEPER ADVISORY COMMITTEE No. 52-11 BROKER/DEALER ADVISORY COMMITTEE No. 55-11 OPERATIONS COMMITTEE No. 32-11 SMALL FUNDS COMMITTEE No. 36-11 TAX COMMITTEE No. 54-11 TRANSFER AGENT...

  [25445] August 30, 2011 TO: BROKER/DEALER ADVISORY COMMITTEE No. 54-11 RE: MARK YOUR CALENDAR - BDAC 2012 MEETING SCHEDULE   The Broker/Dealer Advisory Committee 2012 meeting schedule has been finalized. Please mark your calendars for the following meeting dates: January 25-26 April...

  [25443] August 30, 2011 TO: BDAC COST BASIS REPORTING TASK FORCE No. 23-11 BANK, TRUST AND RECORDKEEPER ADVISORY COMMITTEE No. 50-11 BROKER/DEALER ADVISORY COMMITTEE No. 53-11 OPERATIONS COMMITTEE No. 31-11 SMALL FUNDS COMMITTEE No. 34-11 TAX COMMITTEE No. 52-11 TRANSFER AGENT...

URGENT/ACTION REQUESTED [25432] August 24, 2011 TO: PENSION COMMITTEE No. 25-11 PENSION OPERATIONS ADVISORY COMMITTEE No. 19-11 RE: DOL REGULATION SURVEY -- PLEASE RESPOND BY SEPTEMBER 7   As you may know, the Department of Labor (DOL) is finalizing a proposal to re-define the...