Broker/Dealer Advisory Content

    [23827]   September 30, 2009 TO: BANK, TRUST AND RECORDKEEPER ADVISORY COMMITTEE No. 45-09 BROKER/DEALER ADVISORY COMMITTEE No. 54-09     RE: BDAC NAV DELIVERY/DIVIDEND DISTRIBUTION SURVEY RESULTS   The Broker/Dealer Advisory Committee established a NAV Delivery/Dividend...

    [23820]   September 29, 2009 TO: OPERATIONS COMMITTEE No. 19-09 BROKER/DEALER ADVISORY COMMITTEE No. 53-09 TRANSFER AGENT ADVISORY COMMITTEE No. 72-09 BANK, TRUST AND RECORDKEEPER ADVISORY COMMITTEE No. 44-09 ACCOUNTING/TREASURERS COMMITTEE No. 18-09     RE: FINRA PROPOSES TO...

    [23773]   September 9, 2009 TO: BROKER/DEALER ADVISORY COMMITTEE No. 52-09     RE: MARK YOUR CALENDAR - BDAC 2010 MEETING SCHEDULE   The Broker/Dealer Advisory Committee 2010 meeting schedule has been finalized.  Please mark your calendars for the following meeting dates: February...

    [23769]   September 9, 2009 TO: ACCOUNTING/TREASURERS COMMITTEE No. 14-09 BANK, TRUST AND RECORDKEEPER ADVISORY COMMITTEE No. 40-09 BROKER/DEALER ADVISORY COMMITTEE No. 50-09 MONEY MARKET FUNDS ADVISORY COMMITTEE No. 35-09 MUNICIPAL SECURITIES ADVISORY COMMITTEE No. 40-09...

    [23772]   September 9, 2009 TO: PENSION MEMBERS No. 41-09 SEC RULES MEMBERS No. 95-09 BANK, TRUST AND RECORDKEEPER ADVISORY COMMITTEE No. 41-09 TRANSFER AGENT ADVISORY COMMITTEE No. 69-09 SMALL FUNDS COMMITTEE No. 17-09 BROKER/DEALER ADVISORY COMMITTEE No. 51-09     RE: DOL...

    [23768]   September 8, 2009 TO: SEC RULES MEMBERS No. 93-09 SMALL FUNDS MEMBERS No. 53-09 COMPLIANCE MEMBERS No. 41-09 CLOSED-END INVESTMENT COMPANY MEMBERS No. 37-09 INVESTMENT ADVISER MEMBERS No. 14-09 UNIT INVESTMENT TRUST MEMBERS No. 7-09 PRIVACY ISSUES WORKING GROUP No. 12-09...

    [23736]   August 24, 2009 TO: BROKER/DEALER ADVISORY COMMITTEE No. 48-09     RE: BDAC MEETING NOTICE - OCTOBER 7-8, 2009 AND COST BASIS REPORTING TASK FORCE MEETINGS OCTOBER 6-7   The next meeting of the Broker/Dealer Advisory Committee will be held on Wednesday, October 7and...

    [23720]   August 17, 2009 TO: BANK, TRUST AND RECORDKEEPER ADVISORY COMMITTEE No. 35-09 BROKER/DEALER ADVISORY COMMITTEE No. 47-09 COMPLIANCE MEMBERS No. 38-09 OPERATIONS MEMBERS No. 17-09 PRIMARY CONTACTS - MEMBER COMPLEX No. 10-09 PRIVACY ISSUES WORKING GROUP No. 9-09 SEC RULES...

    [23712] August 14, 2009   TO: ACCOUNTING/TREASURERS COMMITTEE No. 13-09 BANK, TRUST AND RECORDKEEPER ADVISORY COMMITTEE No. 33-09 BROKER/DEALER ADVISORY COMMITTEE No. 46-09 OPERATIONS COMMITTEE No. 15-09 SMALL FUNDS COMMITTEE No. 15-09 TRANSFER AGENT ADVISORY COMMITTEE No. 58-09  ...

[23706]   August 14, 2009 TO: TAX COMMITTEE No. 21-09 TRANSFER AGENT ADVISORY COMMITTEE No. 57-09 BANK, TRUST AND RECORDKEEPER ADVISORY COMMITTEE No. 32-09 BROKER/DEALER ADVISORY COMMITTEE No. 45-09 OPERATIONS COMMITTEE No. 14-09 ACCOUNTING/TREASURERS COMMITTEE No. 12-09 CLOSED-END...