Broker/Dealer Advisory Content

    [23469]   May 20, 2009 TO: TRANSFER AGENT ADVISORY COMMITTEE No. 35-09 BROKER/DEALER ADVISORY COMMITTEE No. 24-09 COMPLIANCE MEMBERS No. 25-09     RE: FINRA PROPOSES RULE REVISIONS TO REQUIRE MEMBERS TO SEND CUSTOMER ACCOUNT STATEMENTS MONTHLY INSTEAD OF QUARTERLY   FINRA recently...

    [23429]   May 1, 2009 TO: BANK, TRUST AND RECORDKEEPER ADVISORY COMMITTEE No. 19-09 BROKER/DEALER ADVISORY COMMITTEE No. 23-09 COMPLIANCE MEMBERS No. 21-09 OPERATIONS MEMBERS No. 10-09 PRIMARY CONTACTS - MEMBER COMPLEX No. 6-09 PRIVACY ISSUES WORKING GROUP No. 4-09 SEC RULES...

    [23419]   April 24, 2009 TO: PENSION MEMBERS No. 19-09 FEDERAL LEGISLATION MEMBERS No. 3-09 BANK, TRUST AND RECORDKEEPER ADVISORY COMMITTEE No. 18-09 BROKER/DEALER ADVISORY COMMITTEE No. 22-09 OPERATIONS COMMITTEE No. 8-09     RE: REP. GEORGE MILLER REINTRODUCES 401(K) FAIR...

[23387]   April 9, 2009 TO: BANK, TRUST AND RECORDKEEPER ADVISORY COMMITTEE No. 17-09 BROKER/DEALER ADVISORY COMMITTEE No. 21-09 OPERATIONS MEMBERS No. 9-09 SMALL FUNDS MEMBERS No. 26-09 TAX MEMBERS No. 8-09 TRANSFER AGENT ADVISORY COMMITTEE No. 31-09     RE: ICI COMMENT LETTER TO...

    [23384]   April 8, 2009 TO: BROKER/DEALER ADVISORY COMMITTEE No. 20-09     RE: MARK YOUR CALENDARS - REVISED BDAC 2009 MEETING SCHEDULE   The Broker/Dealer Advisory Committee 2009 meeting schedule has been modified due to changes in the ICI’s Operations and Technology Conference...

  ACTION REQUESTED [23378]   April 3, 2009 TO: BROKER/DEALER ADVISORY COMMITTEE No. 19-09 TAX COMMITTEE No. 11-09 TRANSFER AGENT ADVISORY COMMITTEE No. 29-09     RE: DRAFT COMMENT LETTER ON COST BASIS REPORTING -- COMMENTS REQUESTED; CONFERENCE CALL SCHEDULED FOR WEDNESDAY, APRIL 8 AT...

    [23373]   April 2, 2009 TO: BANK, TRUST AND RECORDKEEPER ADVISORY COMMITTEE No. 16-09 BROKER/DEALER ADVISORY COMMITTEE No. 18-09 OPERATIONS COMMITTEE No. 7-09 SMALL FUNDS COMMITTEE No. 6-09 TRANSFER AGENT ADVISORY COMMITTEE No. 28-09     RE: TREASURY ANNOUNCES EXTENSION OF...

    [23360]   March 27, 2009 TO: OPERATIONS MEMBERS No. 8-09 BROKER/DEALER ADVISORY COMMITTEE No. 17-09 BANK, TRUST AND RECORDKEEPER ADVISORY COMMITTEE No. 15-09 TECHNOLOGY COMMITTEE No. 8-09 TRANSFER AGENT ADVISORY COMMITTEE No. 26-09     RE: OPERATIONS & TECHNOLOGY CONFERENCE WILL...

    [23337]   March 18, 2009 TO: OPERATIONS COMMITTEE No. 6-09 TRANSFER AGENT ADVISORY COMMITTEE No. 25-09 BROKER/DEALER ADVISORY COMMITTEE No. 16-09 ACCOUNTING/TREASURERS COMMITTEE No. 6-09     RE: REPORT OF THE MONEY MARKET WORKING GROUP   Today, the Investment Company Institute...

[23302]   March 5, 2009 TO: BANK, TRUST AND RECORDKEEPER ADVISORY COMMITTEE No. 12-09 BROKER/DEALER ADVISORY COMMITTEE No. 15-09 OPERATIONS COMMITTEE No. 5-09 SMALL FUNDS COMMITTEE No. 3-09 TAX MEMBERS No. 7-09 TRANSFER AGENT ADVISORY COMMITTEE No. 22-09 RE: ICI AND SIFMA LETTER...