Broker/Dealer Advisory Content

    [24322]   May 25, 2010 TO: BROKER/DEALER ADVISORY COMMITTEE No. 15-10 BANK, TRUST AND RECORDKEEPER ADVISORY COMMITTEE No. 12-10 OPERATIONS MEMBERS No. 6-10 SMALL FUNDS MEMBERS No. 34-10 TAX MEMBERS No. 15-10 TRANSFER AGENT ADVISORY COMMITTEE No. 26-10     RE: INSTITUTE SUBMITS...

    [24308]   May 20, 2010 TO: BANK, TRUST AND RECORDKEEPER ADVISORY COMMITTEE No. 11-10 BROKER/DEALER ADVISORY COMMITTEE No. 14-10 OPERATIONS COMMITTEE No. 10-10 SMALL FUNDS MEMBERS No. 33-10 TRANSFER AGENT ADVISORY COMMITTEE No. 25-10     RE: IRS TO SEND COMPLIANCE QUESTIONNAIRE TO...

    [24298]   May 13, 2010 TO: BANK, TRUST AND RECORDKEEPER ADVISORY COMMITTEE No. 10-10 BROKER/DEALER ADVISORY COMMITTEE No. 13-10 SMALL FUNDS COMMITTEE No. 5-10 TAX COMMITTEE No. 16-10 TRANSFER AGENT ADVISORY COMMITTEE No. 23-10 OPERATIONS COMMITTEE No. 9-10     RE: DRAFT COMMENT...

    [24293]   May 11, 2010 TO: AML COMPLIANCE WORKING GROUP No. 6-10 OPERATIONS COMMITTEE No. 8-10 TRANSFER AGENT ADVISORY COMMITTEE No. 22-10 BROKER/DEALER ADVISORY COMMITTEE No. 12-10     RE: MEMBER CALL - TRAVEL RULE AND GUIDANCE ON AML PROGRAMS AND BENEFICIAL OWNERSHIP INFORMATION...

    [24220]   April 7, 2010 TO: AML COMPLIANCE WORKING GROUP No. 4-10 OPERATIONS COMMITTEE No. 6-10 TRANSFER AGENT ADVISORY COMMITTEE No. 16-10 BANK, TRUST AND RECORDKEEPER ADVISORY COMMITTEE No. 8-10 BROKER/DEALER ADVISORY COMMITTEE No. 11-10 SMALL FUNDS COMMITTEE No. 3-10     RE...

    [24180]   March 10, 2010 TO: BANK, TRUST AND RECORDKEEPER ADVISORY COMMITTEE No. 7-10 BROKER/DEALER ADVISORY COMMITTEE No. 9-10 SMALL FUNDS MEMBERS No. 15-10     RE: MEMBER CALL AND FINCEN GUIDANCE ON AML PROGRAMS AND BENEFICIAL OWNERSHIP INFORMATION   On March 5th, the Financial...

    [24178]   March 10, 2010 TO: BROKER/DEALER ADVISORY COMMITTEE No. 10-10     RE: BDAC MEETING NOTICE - MAY 4-5, 2010   The next meeting of the Broker/Dealer Advisory Committee will take place on Tuesday, May 4 and Wednesday, May 5, 2010 at the Marriott Wardman Park Hotel located at...

    [24147]   February 24, 2010 TO: BROKER/DEALER ADVISORY COMMITTEE No. 7-10 CHIEF COMPLIANCE OFFICER COMMITTEE No. 3-10 COMPLIANCE ADVISORY COMMITTEE No. 3-10 SEC RULES COMMITTEE No. 9-10 TRANSFER AGENT ADVISORY COMMITTEE No. 12-10     RE: ICI FILES LETTER WITH FINRA SUPPORTING...

    [24148]   February 24, 2010 TO: ACCOUNTING/TREASURERS MEMBERS No. 8-10 BANK, TRUST AND RECORDKEEPER ADVISORY COMMITTEE No. 6-10 BOARD OF GOVERNORS No. 2-10 BROKER/DEALER ADVISORY COMMITTEE No. 8-10 MONEY MARKET FUNDS ADVISORY COMMITTEE No. 6-10 MUNICIPAL SECURITIES ADVISORY...

    [24133]   February 12, 2010 TO: BROKER/DEALER ADVISORY COMMITTEE No. 6-10 BANK, TRUST AND RECORDKEEPER ADVISORY COMMITTEE No. 5-10 OPERATIONS MEMBERS No. 1-10 SMALL FUNDS MEMBERS No. 11-10 TAX MEMBERS No. 4-10 TRANSFER AGENT ADVISORY COMMITTEE No. 9-10     RE: INSTITUTE COMMENT...