Broker/Dealer Advisory Content

  [24844] January 7, 2011 TO: BANK, TRUST AND RECORDKEEPER ADVISORY COMMITTEE No. 1-11 BDAC COST BASIS REPORTING TASK FORCE No. 1-11 BROKER/DEALER ADVISORY COMMITTEE No. 1-11 SMALL FUNDS COMMITTEE No. 1-11 TAX COMMITTEE No. 1-11 TRANSFER AGENT ADVISORY COMMITTEE No. 1-11 OPERATIONS...

[24814] December 23, 2010 TO: BROKER/DEALER ADVISORY COMMITTEE No. 64-10 INVESTMENT COMPANY DIRECTORS No. 35-10 OPERATIONS COMMITTEE No. 43-10 SEC RULES COMMITTEE No. 67-10 SMALL FUNDS COMMITTEE No. 34-10 TRANSFER AGENT ADVISORY COMMITTEE No. 87-10 RE: ICI FILES COMMENT LETTER WITH...

    [24809]   December 21, 2010 TO: ACCOUNTING/TREASURERS MEMBERS No. 46-10 BROKER/DEALER ADVISORY COMMITTEE No. 63-10 MONEY MARKET FUNDS ADVISORY COMMITTEE No. 68-10 MUNICIPAL SECURITIES ADVISORY COMMITTEE No. 53-10 OPERATIONS COMMITTEE No. 42-10 SEC RULES MEMBERS No. 140-10 SMALL...

    [24778]   December 10, 2010 TO: BROKER/DEALER ADVISORY COMMITTEE No. 62-10 INVESTMENT COMPANY DIRECTORS No. 31-10 OPERATIONS COMMITTEE No. 41-10 SEC RULES COMMITTEE No. 64-10 SMALL FUNDS COMMITTEE No. 29-10 TRANSFER AGENT ADVISORY COMMITTEE No. 84-10 RE: ICI DRAFT LETTER ON FINRA...

  [24773]   December 9, 2010 TO: BANK, TRUST AND RECORDKEEPER ADVISORY COMMITTEE No. 53-10 BROKER/DEALER ADVISORY COMMITTEE No. 61-10 CLOSED-END INVESTMENT COMPANY COMMITTEE No. 28-10 ETF ADVISORY COMMITTEE No. 53-10 EQUITY MARKETS ADVISORY COMMITTEE No. 51-10 FIXED-INCOME ADVISORY...

  [24766]   December 7, 2010 TO: BANK, TRUST AND RECORDKEEPER ADVISORY COMMITTEE No. 52-10 BROKER/DEALER ADVISORY COMMITTEE No. 60-10 COMPLIANCE MEMBERS No. 34-10 INVESTMENT ADVISER MEMBERS No. 16-10 SMALL FUNDS MEMBERS No. 80-10 RE: FORM LETTER MEMBERS MAY USE TO OBTAIN LIST OF...

  [24756]   December 2, 2010 TO: BROKER/DEALER ADVISORY COMMITTEE No. 58-10 RE: BDAC MEETING NOTICE - FEBRUARY 9-10, 2011   The next meeting of the Broker/Dealer Advisory Committee will take place on Wednesday, February 9 and Thursday, February 10, 2011 at the offices of Pershing...

    [24760]   December 2, 2010 TO: ACCOUNTING/TREASURERS COMMITTEE No. 15-10 BROKER/DEALER ADVISORY COMMITTEE No. 59-10 MONEY MARKET FUNDS ADVISORY COMMITTEE No. 65-10 MUNICIPAL SECURITIES ADVISORY COMMITTEE No. 50-10 OPERATIONS COMMITTEE No. 39-10 SEC RULES MEMBERS No. 132-10 SMALL...

[24752] December 1, 2010 TO: ACCOUNTING/TREASURERS MEMBERS No. 39-10 BANK, TRUST AND RECORDKEEPER ADVISORY COMMITTEE No. 50-10 BOARD OF GOVERNORS No. 11-10 BROKER/DEALER ADVISORY COMMITTEE No. 57-10 INVESTMENT COMPANY DIRECTORS No. 29-10 MONEY MARKET FUNDS ADVISORY COMMITTEE No. 64-10...

  [24702]   November 11, 2010 TO: PENSION MEMBERS No. 49-10 TRANSFER AGENT ADVISORY COMMITTEE No. 76-10 BANK, TRUST AND RECORDKEEPER ADVISORY COMMITTEE No. 49-10 BROKER/DEALER ADVISORY COMMITTEE No. 56-10 OPERATIONS COMMITTEE No. 37-10 RE: DOL ISSUES FINAL PARTICIPANT DISCLOSURE...