Broker/Dealer Advisory Content

    [24111]   January 29, 2010 TO: BROKER/DEALER ADVISORY COMMITTEE No. 5-10 BANK, TRUST AND RECORDKEEPER ADVISORY COMMITTEE No. 3-10 OPERATIONS COMMITTEE No. 3-10 SMALL FUNDS COMMITTEE No. 2-10 TAX COMMITTEE No. 2-10 TRANSFER AGENT ADVISORY COMMITTEE No. 4-10     RE: DRAFT INSTITUTE...

    [24104]   January 27, 2010 TO: BROKER/DEALER ADVISORY COMMITTEE No. 4-10     RE: MARK YOUR CALENDARS - REVISED BDAC 2010 MEETING SCHEDULE   The Broker/Dealer Advisory Committee 2010 meeting schedule has been modified.  Please mark your calendars for the following meeting dates...

    [24097]   January 25, 2010 TO: TRANSFER AGENT ADVISORY COMMITTEE No. 2-10 BROKER/DEALER ADVISORY COMMITTEE No. 3-10 CHIEF COMPLIANCE OFFICER COMMITTEE No. 2-10 COMPLIANCE ADVISORY COMMITTEE No. 2-10 SEC RULES COMMITTEE No. 4-10     RE: DRAFT ICI LETTER SUPPORTING GREATER...

    [24073]   January 12, 2010 TO: AML COMPLIANCE WORKING GROUP No. 1-10 OFAC ALERT MEMBERS No. 2-10 TRANSFER AGENT ADVISORY COMMITTEE No. 1-10 BROKER/DEALER ADVISORY COMMITTEE No. 2-10     RE: CONFIRMATION OF OFAC PROGRAM LETTER FOR CLEARING AGENCIES - DUE MARCH 31, 2010   On...

    [24066]   January 7, 2010 TO: BOARD OF GOVERNORS No. 1-10 SEC RULES MEMBERS No. 5-10 SMALL FUNDS MEMBERS No. 3-10 BROKER/DEALER ADVISORY COMMITTEE No. 1-10     RE: ILLINOIS APPELLATE COURT RULES THAT SLUSA PRECLUDES CLASS ACTIONS ALLEGING NEGLIGENCE BASED ON MARKET TIMING   We are...

    [24045]   December 22, 2009 TO: BANK, TRUST AND RECORDKEEPER ADVISORY COMMITTEE No. 57-09 BROKER/DEALER ADVISORY COMMITTEE No. 69-09 OPERATIONS MEMBERS No. 31-09 SMALL FUNDS MEMBERS No. 78-09 TAX MEMBERS No. 39-09 TRANSFER AGENT ADVISORY COMMITTEE No. 95-09     RE: PROPOSED...

    [24039]   December 22, 2009 TO: BROKER/DEALER ADVISORY COMMITTEE No. 68-09     RE: REGULATED INVESTMENT COMPANY MODERNIZATION ACT OF 2009 INTRODUCED   We are very pleased to inform you that legislation to modernize the tax rules applicable to regulated investment companies (“RICs”...

    [24034]   December 18, 2009 TO: BROKER/DEALER ADVISORY COMMITTEE No. 67-09 BANK, TRUST AND RECORDKEEPER ADVISORY COMMITTEE No. 56-09 OPERATIONS MEMBERS No. 30-09 SMALL FUNDS MEMBERS No. 76-09 TAX MEMBERS No. 37-09 TRANSFER AGENT ADVISORY COMMITTEE No. 94-09     RE: IRS ISSUES...

    [24022]   December 17, 2009 TO: BROKER/DEALER ADVISORY COMMITTEE No. 66-09 BANK, TRUST AND RECORDKEEPER ADVISORY COMMITTEE No. 55-09 OPERATIONS MEMBERS No. 29-09 SMALL FUNDS MEMBERS No. 74-09 TAX MEMBERS No. 35-09 TRANSFER AGENT ADVISORY COMMITTEE No. 93-09     RE: IRS ISSUES...

    [24017]   December 16, 2009 TO: BROKER/DEALER ADVISORY COMMITTEE No. 65-09 BANK, TRUST AND RECORDKEEPER ADVISORY COMMITTEE No. 54-09 TAX MEMBERS No. 34-09 OPERATIONS MEMBERS No. 28-09 TRANSFER AGENT ADVISORY COMMITTEE No. 92-09 SMALL FUNDS MEMBERS No. 72-09     RE: IRS RELEASES...