Broker/Dealer Advisory Content

    [24397]   June 30, 2010 TO: BANK, TRUST AND RECORDKEEPER ADVISORY COMMITTEE No. 18-10 BROKER/DEALER ADVISORY COMMITTEE No. 25-10 OPERATIONS COMMITTEE No. 16-10 TRANSFER AGENT ADVISORY COMMITTEE No. 33-10     RE: COST BASIS REPORTING TASK FORCE - RECOMMENDED PRACTICES FOR FIRM...

  [24387]   June 25, 2010 TO: ACCOUNTING/TREASURERS MEMBERS No. 20-10 BROKER/DEALER ADVISORY COMMITTEE No. 24-10 MONEY MARKET FUNDS ADVISORY COMMITTEE No. 26-10 MUNICIPAL SECURITIES ADVISORY COMMITTEE No. 25-10 OPERATIONS COMMITTEE No. 15-10 SEC RULES MEMBERS No. 56-10 SMALL FUNDS...

    [24386]   June 25, 2010 TO: PENSION MEMBERS No. 25-10 FEDERAL LEGISLATION MEMBERS No. 3-10 BANK, TRUST AND RECORDKEEPER ADVISORY COMMITTEE No. 17-10 BROKER/DEALER ADVISORY COMMITTEE No. 23-10 OPERATIONS COMMITTEE No. 14-10 RE: PRESIDENT SIGNS PENSION FUNDING RELIEF WITHOUT FEE...

[24379]   June 22, 2010 TO: BANK, TRUST AND RECORDKEEPER ADVISORY COMMITTEE No. 16-10 BROKER/DEALER ADVISORY COMMITTEE No. 22-10 RE: APPELLATE COURT HOLDS EXECUTIVES OF FUND UNDERWRITER CANNOT BE HELD LIABLE UNDER RULE 10B-5 FOR MISREPRESENTATIONS IN FUND PROSPECTUS   In a case of...

[24374]   June 22, 2010 TO: BANK, TRUST AND RECORDKEEPER ADVISORY COMMITTEE No. 15-10 BROKER/DEALER ADVISORY COMMITTEE No. 21-10 TECHNOLOGY COMMITTEE No. 7-10 RE: FINRA PROPOSES TO REQUIRE INFORMATION PROVIDED TO THEM VIA A PORTABLE MEDIA DEVICE BE ENCRYPTED; COMMENTS REQUESTED BY...

[24354]   June 9, 2010 TO: AML COMPLIANCE WORKING GROUP No. 8-10 TRANSFER AGENT ADVISORY COMMITTEE No. 30-10 BROKER/DEALER ADVISORY COMMITTEE No. 20-10 SEC RULES COMMITTEE No. 22-10 RE: JOINT INDUSTRY ASSOCIATION LETTER ON AML PROGRAMS AND BENEFICIAL OWNERSHIP INFORMATION   On June 9...

[24349]   June 8, 2010 TO: BROKER/DEALER ADVISORY COMMITTEE No. 19-10 RE: BDAC MEETING NOTICE - JULY 21-22, 2010   The next meeting of the Broker/Dealer Advisory Committee will take place on Wednesday, July 21 and Thursday, July 22, 2010 at the offices of Putnam Investments located at...

[24345]   June 3, 2010 TO: PENSION MEMBERS No. 20-10 FEDERAL LEGISLATION MEMBERS No. 2-10 BANK, TRUST AND RECORDKEEPER ADVISORY COMMITTEE No. 14-10 BROKER/DEALER ADVISORY COMMITTEE No. 18-10 OPERATIONS COMMITTEE No. 13-10 RE: HOUSE PASSES FEE DISCLOSURE BILL   The House of...

    [24332]   May 27, 2010 TO: OPERATIONS COMMITTEE No. 11-10 SMALL FUNDS COMMITTEE No. 6-10 BROKER/DEALER ADVISORY COMMITTEE No. 16-10 TRANSFER AGENT ADVISORY COMMITTEE No. 27-10     RE: SEC STAFF RESPONDS TO QUESTIONS ABOUT MONEY MARKET FUND REFORM   The Staff of the SEC’s Division...

    [24333]   May 27, 2010 TO: BANK, TRUST AND RECORDKEEPER ADVISORY COMMITTEE No. 13-10 BROKER/DEALER ADVISORY COMMITTEE No. 17-10 OPERATIONS COMMITTEE No. 12-10 TRANSFER AGENT ADVISORY COMMITTEE No. 28-10     RE: SENATE PASSES FINANCIAL REGULATORY REFORM LEGISLATION   On May 20, the...