Broker/Dealer Advisory Content

[24514]   August 27, 2010 TO: TAX COMMITTEE No. 26-10 TRANSFER AGENT ADVISORY COMMITTEE No. 51-10 BANK, TRUST AND RECORDKEEPER ADVISORY COMMITTEE No. 29-10 BROKER/DEALER ADVISORY COMMITTEE No. 36-10 OPERATIONS COMMITTEE No. 23-10 ACCOUNTING/TREASURERS COMMITTEE No. 10-10 CLOSED-END...

  [24500]   August 18, 2010 TO: BROKER/DEALER ADVISORY COMMITTEE No. 34-10 COMPLIANCE MEMBERS No. 18-10 TRANSFER AGENT ADVISORY COMMITTEE No. 47-10 RE: SEC PUBLISHES FOR COMMENT FINRA'S PROPOSED REVISIONS TO SUITABILITY AND "KNOW YOUR CUSTOMER" RULES; COMMENTS DUE TO ICI AUGUST 27TH  ...

    [24481]   August 11, 2010 TO: BANK, TRUST AND RECORDKEEPER ADVISORY COMMITTEE No. 25-10 BROKER/DEALER ADVISORY COMMITTEE No. 33-10 OPERATIONS COMMITTEE No. 21-10 TRANSFER AGENT ADVISORY COMMITTEE No. 45-10 RE: AUGUST 24, 2010 CONFERENCE CALL ON SEC'S RULE 12B-1 PROPOSAL   As you...

[24473]   August 9, 2010 TO: BROKER/DEALER ADVISORY COMMITTEE No. 32-10 RE: BDAC MEETING NOTICE - OCTOBER 20-21, 2010   The next meeting of the Broker/Dealer Advisory Committee will take place on Wednesday, October 20 and Thursday, October 21, 2010 at the Janus offices at 151 Detroit...

[24452]   July 29, 2010 TO: ACCOUNTING/TREASURERS COMMITTEE No. 7-10 BANK, TRUST AND RECORDKEEPER ADVISORY COMMITTEE No. 24-10 BROKER/DEALER ADVISORY COMMITTEE No. 31-10 OPERATIONS COMMITTEE No. 20-10 PENSION COMMITTEE No. 19-10 PENSION OPERATIONS ADVISORY COMMITTEE No. 18-10 SEC...

  [24449]   July 28, 2010 TO: ACCOUNTING/TREASURERS MEMBERS No. 22-10 BANK, TRUST AND RECORDKEEPER ADVISORY COMMITTEE No. 23-10 BOARD OF GOVERNORS No. 7-10 BROKER/DEALER ADVISORY COMMITTEE No. 30-10 OPERATIONS MEMBERS No. 9-10 PENSION MEMBERS No. 31-10 PENSION OPERATIONS ADVISORY...

    [24444]   July 27, 2010 TO: SEC RULES COMMITTEE No. 30-10 CLOSED-END INVESTMENT COMPANY COMMITTEE No. 13-10 ETF ADVISORY COMMITTEE No. 32-10 SMALL FUNDS COMMITTEE No. 9-10 TRANSFER AGENT ADVISORY COMMITTEE No. 40-10 BROKER/DEALER ADVISORY COMMITTEE No. 29-10 RE: SEC CONCEPT...

    [24433]   July 19, 2010 TO: BANK, TRUST AND RECORDKEEPER ADVISORY COMMITTEE No. 22-10 BROKER/DEALER ADVISORY COMMITTEE No. 28-10 OPERATIONS COMMITTEE No. 19-10 TRANSFER AGENT ADVISORY COMMITTEE No. 38-10 RE: CONGRESS APPROVES FINANCIAL REGULATORY REFORM LEGISLATION; PRESIDENT’S...

[24420]   July 15, 2010 TO: BROKER/DEALER ADVISORY COMMITTEE No. 27-10 BANK, TRUST AND RECORDKEEPER ADVISORY COMMITTEE No. 20-10 CHIEF COMPLIANCE OFFICER COMMITTEE No. 6-10 COMPLIANCE ADVISORY COMMITTEE No. 7-10 OPERATIONS COMMITTEE No. 17-10 RE: COMPLIANCE REVIEW FOR FUND...

    [24417]   July 14, 2010 TO: TAX MEMBERS No. 18-10 OPERATIONS MEMBERS No. 7-10 BROKER/DEALER ADVISORY COMMITTEE No. 26-10 TRANSFER AGENT ADVISORY COMMITTEE No. 34-10 BANK, TRUST AND RECORDKEEPER ADVISORY COMMITTEE No. 19-10 RE: ICI LETTER TO TREASURY DEPARTMENT AND IRS ON REPORTING...