Broker/Dealer Advisory Content

  [24627]   October 19, 2010 TO: OPERATIONS COMMITTEE No. 31-10 TRANSFER AGENT ADVISORY COMMITTEE No. 64-10 BROKER/DEALER ADVISORY COMMITTEE No. 45-10 BANK, TRUST AND RECORDKEEPER ADVISORY COMMITTEE No. 38-10 RE: TAAC COST BASIS REPORTING SURVEY RESULTS   The Transfer Agent Advisory...

[24616] October 14, 2010 TO: BANK, TRUST AND RECORDKEEPER ADVISORY COMMITTEE No. 37-10 BROKER/DEALER ADVISORY COMMITTEE No. 44-10 OPERATIONS COMMITTEE No. 30-10 SMALL FUNDS COMMITTEE No. 17-10 TAX COMMITTEE No. 32-10 TRANSFER AGENT ADVISORY COMMITTEE No. 61-10 RE: CONFERENCE CALL TO...

URGENT/ACTION REQUESTED [24613] October 14, 2010 TO: ACCOUNTING/TREASURERS COMMITTEE No. 11-10 BANK, TRUST AND RECORDKEEPER ADVISORY COMMITTEE No. 36-10 BROKER/DEALER ADVISORY COMMITTEE No. 43-10 MONEY MARKET FUNDS ADVISORY COMMITTEE No. 49-10 OPERATIONS COMMITTEE No. 29-10 PENSION...

  [24606]   October 13, 2010 TO: BROKER/DEALER ADVISORY COMMITTEE No. 42-10 BANK, TRUST AND RECORDKEEPER ADVISORY COMMITTEE No. 35-10 TAX MEMBERS No. 30-10 OPERATIONS MEMBERS No. 12-10 TRANSFER AGENT ADVISORY COMMITTEE No. 59-10 SMALL FUNDS MEMBERS No. 58-10 RE: IRS ISSUES FINAL...

[24587] October 6, 2010 TO: ACCOUNTING/TREASURERS MEMBERS No. 30-10 BROKER/DEALER ADVISORY COMMITTEE No. 41-10 MONEY MARKET FUNDS ADVISORY COMMITTEE No. 46-10 MUNICIPAL SECURITIES ADVISORY COMMITTEE No. 39-10 OPERATIONS COMMITTEE No. 28-10 SEC RULES MEMBERS No. 96-10 SMALL FUNDS...

[24580] October 5, 2010 TO: TAX COMMITTEE No. 30-10 OPERATIONS COMMITTEE No. 27-10 SMALL FUNDS COMMITTEE No. 14-10 TRANSFER AGENT ADVISORY COMMITTEE No. 55-10 BROKER/DEALER ADVISORY COMMITTEE No. 40-10 BANK, TRUST AND RECORDKEEPER ADVISORY COMMITTEE No. 33-10 RE: IRS RELEASES DRAFT...

  [24568]   October 1, 2010 TO: BANK, TRUST AND RECORDKEEPER ADVISORY COMMITTEE No. 32-10 BROKER/DEALER ADVISORY COMMITTEE No. 39-10 TECHNOLOGY COMMITTEE No. 10-10 RE: SEC APPROVES FINRA RULE AMENDMENTS REQUIRING INFORMATION PROVIDED TO THEM VIA A PORTABLE MEDIA DEVICE BE ENCRYPTED  ...

  [24532]   September 9, 2010 TO: BROKER/DEALER ADVISORY COMMITTEE No. 38-10 RE: MARK YOUR CALENDAR - BDAC 2011 MEETING SCHEDULE   The Broker/Dealer Advisory Committee 2011 meeting schedule has been finalized.  Please mark your calendars for the following meeting dates: February 9-10...

  [24530] September 8, 2010 TO: COMPLIANCE MEMBERS No. 19-10 SEC RULES MEMBERS No. 87-10 SMALL FUNDS MEMBERS No. 49-10 AML COMPLIANCE WORKING GROUP No. 12-10 BROKER/DEALER ADVISORY COMMITTEE No. 37-10 OPERATIONS COMMITTEE No. 25-10 TRANSFER AGENT ADVISORY COMMITTEE No. 53-10 RE: SEC...

[24513]   August 27, 2010 TO: AML COMPLIANCE WORKING GROUP No. 11-10 TRANSFER AGENT ADVISORY COMMITTEE No. 50-10 BROKER/DEALER ADVISORY COMMITTEE No. 35-10 BANK, TRUST AND RECORDKEEPER ADVISORY COMMITTEE No. 28-10 RE: MEMBER CALL - TRAVEL RULE AND GUIDANCE ON AML PROGRAMS AND...