Broker/Dealer Advisory Content

    [24007]   December 10, 2009 TO: BROKER/DEALER ADVISORY COMMITTEE No. 64-09     RE: BDAC MEETING NOTICE - FEBRUARY 3-4, 2010   The next meeting of the Broker/Dealer Advisory Committee will be held on Wednesday, February 3 and Thursday, February 4, 2010 at the offices of Merrill...

    [23996]   December 4, 2009 TO: BANK, TRUST AND RECORDKEEPER ADVISORY COMMITTEE No. 52-09 BROKER/DEALER ADVISORY COMMITTEE No. 63-09 COMPLIANCE ADVISORY COMMITTEE No. 6-09 TRANSFER AGENT ADVISORY COMMITTEE No. 90-09 SMALL FUNDS MEMBERS No. 70-09 OPERATIONS MEMBERS No. 27-09 PENSION...

    [23944]   November 10, 2009 TO: PENSION MEMBERS No. 53-09 BANK, TRUST AND RECORDKEEPER ADVISORY COMMITTEE No. 51-09 BROKER/DEALER ADVISORY COMMITTEE No. 62-09     RE: DOL GUIDANCE ON BROKER'S REQUEST FOR GRANT OF SECURITY INTEREST IN NON-IRA ACCOUNTS AS CONDITION FOR OPENING IRA...

    [23941]   November 9, 2009 TO: COMPLIANCE MEMBERS No. 49-09 BROKER/DEALER ADVISORY COMMITTEE No. 61-09 INVESTMENT ADVISER MEMBERS No. 22-09     RE: SEC OPENS REGISTRATION FOR NATIONAL CCOUTREACH PROGRAM THAT WILL BE HELD IN WASHINGTON, D.C. ON JANUARY 26TH   The SEC has scheduled...

    [23936]   November 6, 2009 TO: SEC RULES MEMBERS No. 120-09 SMALL FUNDS MEMBERS No. 65-09 COMPLIANCE MEMBERS No. 47-09 CLOSED-END INVESTMENT COMPANY MEMBERS No. 50-09 INVESTMENT ADVISER MEMBERS No. 20-09 UNIT INVESTMENT TRUST MEMBERS No. 8-09 PRIVACY ISSUES WORKING GROUP No. 15-09...

    [23920]   November 2, 2009 TO: BANK, TRUST AND RECORDKEEPER ADVISORY COMMITTEE No. 50-09 BROKER/DEALER ADVISORY COMMITTEE No. 59-09 COMPLIANCE MEMBERS No. 46-09 OPERATIONS MEMBERS No. 23-09 PRIMARY CONTACTS - MEMBER COMPLEX No. 14-09 PRIVACY ISSUES WORKING GROUP No. 14-09 SEC...

    [23901]   October 27, 2009 TO: PENSION MEMBERS No. 51-09 BROKER/DEALER ADVISORY COMMITTEE No. 58-09 BANK, TRUST AND RECORDKEEPER ADVISORY COMMITTEE No. 49-09 OPERATIONS COMMITTEE No. 22-09 TRANSFER AGENT ADVISORY COMMITTEE No. 79-09 SEC RULES COMMITTEE No. 63-09     RE: DOL...

    [23866]   October 9, 2009 TO: OPERATIONS COMMITTEE No. 21-09 BROKER/DEALER ADVISORY COMMITTEE No. 57-09 TRANSFER AGENT ADVISORY COMMITTEE No. 77-09 BANK, TRUST AND RECORDKEEPER ADVISORY COMMITTEE No. 48-09 ACCOUNTING/TREASURERS COMMITTEE No. 21-09     RE: ICI FILES COMMENT LETTER...

    [23848]   October 5, 2009 TO: INVESTMENT ADVISER MEMBERS No. 16-09 BROKER/DEALER ADVISORY COMMITTEE No. 56-09     RE: NEW NEBRASKA LAW REQUIRES INVESTMENT ADVISER REPRESENTATIVES TO CERTIFY THEY ARE U.S. CITIZENS OR IN THIS COUNTRY LAWFULLY   Earlier this year, the Governor of...

    [23834]   October 1, 2009 TO: OPERATIONS COMMITTEE No. 20-09 BANK, TRUST AND RECORDKEEPER ADVISORY COMMITTEE No. 46-09 BROKER/DEALER ADVISORY COMMITTEE No. 55-09 TRANSFER AGENT ADVISORY COMMITTEE No. 74-09 SALES FORCE MARKETING COMMITTEE No. 10-09 INTERNAL SALES MANAGERS...