Broker/Dealer Advisory Content

[25320] July 11, 2011 TO: BANK, TRUST AND RECORDKEEPER ADVISORY COMMITTEE No. 40-11 BROKER/DEALER ADVISORY COMMITTEE No. 42-11 COMPLIANCE MEMBERS No. 30-11 TRANSFER AGENT ADVISORY COMMITTEE No. 53-11 RE: FINRA FINES BROKER-DEALER FOR FAILURE TO TIMELY PROVIDE MUTUAL FUND SHAREHOLDERS...

  [25315] July 7, 2011 TO: BDAC COST BASIS REPORTING TASK FORCE No. 18-11 BANK, TRUST AND RECORDKEEPER ADVISORY COMMITTEE No. 39-11 BROKER/DEALER ADVISORY COMMITTEE No. 41-11 OPERATIONS COMMITTEE No. 24-11 SMALL FUNDS COMMITTEE No. 26-11 TAX COMMITTEE No. 42-11 TRANSFER AGENT ADVISORY...

  [25298] June 23, 2011 TO: 529 PLAN ADVISORY COMMITTEE No. 4-11 BROKER/DEALER ADVISORY COMMITTEE No. 39-11 COMPLIANCE MEMBERS No. 28-11 INVESTMENT ADVISER MEMBERS No. 15-11 SEC RULES MEMBERS No. 76-11 SMALL FUNDS MEMBERS No. 45-11 TRANSFER AGENT ADVISORY COMMITTEE No. 50-11 RE: SEC...

  [25299] June 23, 2011 TO: OPERATIONS COMMITTEE No. 23-11 TRANSFER AGENT ADVISORY COMMITTEE No. 51-11 BANK, TRUST AND RECORDKEEPER ADVISORY COMMITTEE No. 38-11 BROKER/DEALER ADVISORY COMMITTEE No. 40-11 BDAC COST BASIS REPORTING TASK FORCE No. 17-11 TAX COMMITTEE No. 39-11 RE: COST...

  [25293] June 22, 2011 TO: BDAC COST BASIS REPORTING TASK FORCE No. 14-11 BANK, TRUST AND RECORDKEEPER ADVISORY COMMITTEE No. 35-11 BROKER/DEALER ADVISORY COMMITTEE No. 36-11 OPERATIONS COMMITTEE No. 21-11 SMALL FUNDS COMMITTEE No. 24-11 TAX COMMITTEE No. 37-11 TRANSFER AGENT...

  [25294] June 22, 2011 TO: BDAC COST BASIS REPORTING TASK FORCE No. 15-11 BANK, TRUST AND RECORDKEEPER ADVISORY COMMITTEE No. 36-11 BROKER/DEALER ADVISORY COMMITTEE No. 37-11 OPERATIONS MEMBERS No. 13-11 SMALL FUNDS MEMBERS No. 44-11 TAX MEMBERS No. 19-11 TRANSFER AGENT ADVISORY...

  [25296] June 22, 2011 TO: BDAC COST BASIS REPORTING TASK FORCE No. 16-11 BANK, TRUST AND RECORDKEEPER ADVISORY COMMITTEE No. 37-11 BROKER/DEALER ADVISORY COMMITTEE No. 38-11 OPERATIONS COMMITTEE No. 22-11 SMALL FUNDS COMMITTEE No. 25-11 TAX COMMITTEE No. 38-11 TRANSFER AGENT...

[25267] June 9, 2011 TO: TAX MEMBERS No. 14-11 INTERNATIONAL MEMBERS No. 24-11 INTERNATIONAL OPERATIONS ADVISORY COMMITTEE No. 10-11 TRANSFER AGENT ADVISORY COMMITTEE No. 45-11 BROKER/DEALER ADVISORY COMMITTEE No. 35-11 RE: ICI COMMENT LETTER ON FATCA AND NOTICE 2011-34 The attached...

  [25259] June 7, 2011 TO: 529 PLAN MEMBERS No. 4-11 BANK, TRUST AND RECORDKEEPER ADVISORY COMMITTEE No. 33-11 BROKER/DEALER ADVISORY COMMITTEE No. 34-11 CLOSED-END INVESTMENT COMPANY MEMBERS No. 43-11 COMPLIANCE MEMBERS No. 27-11 INVESTMENT ADVISER MEMBERS No. 13-11 MUNICIPAL...

  [25256] June 7, 2011 TO: BDAC COST BASIS REPORTING TASK FORCE No. 13-11 BANK, TRUST AND RECORDKEEPER ADVISORY COMMITTEE No. 32-11 BROKER/DEALER ADVISORY COMMITTEE No. 33-11 COMPLIANCE ADVISORY COMMITTEE No. 4-11 INTERNAL AUDIT ADVISORY COMMITTEE No. 6-11 OPERATIONS COMMITTEE No. 20...