Broker/Dealer Advisory Content

[24689] November 5, 2010 TO: ACCOUNTING/TREASURERS MEMBERS No. 37-10 BANK, TRUST AND RECORDKEEPER ADVISORY COMMITTEE No. 48-10 BOARD OF GOVERNORS No. 8-10 BROKER/DEALER ADVISORY COMMITTEE No. 55-10 INVESTMENT COMPANY DIRECTORS No. 27-10 MONEY MARKET FUNDS ADVISORY COMMITTEE No. 57-10...

[24686] November 4, 2010 TO: ACCOUNTING/TREASURERS MEMBERS No. 36-10 BANK, TRUST AND RECORDKEEPER ADVISORY COMMITTEE No. 47-10 BROKER/DEALER ADVISORY COMMITTEE No. 54-10 FIXED-INCOME ADVISORY COMMITTEE No. 25-10 MONEY MARKET FUNDS ADVISORY COMMITTEE No. 56-10 MUNICIPAL SECURITIES...

  [24675]   October 29, 2010 TO: BROKER/DEALER ADVISORY COMMITTEE No. 53-10 INVESTMENT COMPANY DIRECTORS No. 25-10 OPERATIONS COMMITTEE No. 35-10 SEC RULES COMMITTEE No. 47-10 SMALL FUNDS COMMITTEE No. 19-10 TRANSFER AGENT ADVISORY COMMITTEE No. 73-10 RE: FINRA ISSUES CONCEPT RELEASE...

  [24672]   October 28, 2010 TO: BANK, TRUST AND RECORDKEEPER ADVISORY COMMITTEE No. 44-10 BROKER/DEALER ADVISORY COMMITTEE No. 51-10 COMPLIANCE MEMBERS No. 27-10 PENSION MEMBERS No. 46-10 TRANSFER AGENT ADVISORY COMMITTEE No. 70-10 RE: NOVEMBER 29TH CALL TO DISCUSS OPERATIONAL ISSUES...

  [24673]   October 28, 2010 TO: 529 PLAN MEMBERS No. 3-10 BANK, TRUST AND RECORDKEEPER ADVISORY COMMITTEE No. 45-10 BROKER/DEALER ADVISORY COMMITTEE No. 52-10 COMPLIANCE MEMBERS No. 28-10 INVESTMENT ADVISER MEMBERS No. 14-10 PENSION MEMBERS No. 47-10 SEC RULES MEMBERS No. 110-10...

[24662] October 27, 2010 TO: BROKER/DEALER ADVISORY COMMITTEE No. 50-10 BANK, TRUST AND RECORDKEEPER ADVISORY COMMITTEE No. 43-10 RE: DOL PROPOSES NEW DEFINITION OF INVESTMENT ADVICE FIDUCIARY   The Department of Labor proposed a new rule on the circumstances under which a person will...

[24655] October 26, 2010 TO: ACCOUNTING/TREASURERS COMMITTEE No. 13-10 BANK, TRUST AND RECORDKEEPER ADVISORY COMMITTEE No. 42-10 BROKER/DEALER ADVISORY COMMITTEE No. 49-10 OPERATIONS COMMITTEE No. 34-10 TRANSFER AGENT ADVISORY COMMITTEE No. 69-10 RE: ICI FILES COMMENT LETTER...

  [24647]   October 22, 2010 TO: ACCOUNTING/TREASURERS MEMBERS No. 34-10 BANK, TRUST AND RECORDKEEPER ADVISORY COMMITTEE No. 41-10 BROKER/DEALER ADVISORY COMMITTEE No. 48-10 FIXED-INCOME ADVISORY COMMITTEE No. 23-10 MONEY MARKET FUNDS ADVISORY COMMITTEE No. 54-10 MUNICIPAL SECURITIES...

    [24630]   October 20, 2010 TO: BANK, TRUST AND RECORDKEEPER ADVISORY COMMITTEE No. 39-10 BROKER/DEALER ADVISORY COMMITTEE No. 46-10 OPERATIONS COMMITTEE No. 32-10 TRANSFER AGENT ADVISORY COMMITTEE No. 65-10 RE: CONFERENCE CALL TO DISCUSS DRAFT 12B-1 COMMENT LETTER; FRIDAY, OCTOBER...

[24610] October 20, 2010 TO: BANK, TRUST AND RECORDKEEPER ADVISORY COMMITTEE No. 40-10 BROKER/DEALER ADVISORY COMMITTEE No. 47-10 OPERATIONS MEMBERS No. 13-10 SMALL FUNDS MEMBERS No. 60-10 TAX MEMBERS No. 31-10 TRANSFER AGENT ADVISORY COMMITTEE No. 66-10 RE: FINAL REGULATIONS ON COST...