Operations Content

[27565] September 16, 2013 TO: PENSION MEMBERS No. 44-13 BANK, TRUST AND RETIREMENT ADVISORY COMMITTEE No. 32-13 BROKER/DEALER ADVISORY COMMITTEE No. 44-13 OPERATIONS COMMITTEE No. 46-13 TRANSFER AGENT ADVISORY COMMITTEE No. 70-13 RE: DOL OPINES ON USE OF SUMMARY PROSPECTUS TO SATISFY...

[27556] September 11, 2013 TO: BANK, TRUST AND RETIREMENT ADVISORY COMMITTEE No. 30-13 BROKER/DEALER ADVISORY COMMITTEE No. 42-13 OPERATIONS COMMITTEE No. 45-13 TRANSFER AGENT ADVISORY COMMITTEE No. 68-13 RE: SEC, FINRA, AND CFTC ISSUE STAFF ADVISORY AND BEST PRACTICES RELATING TO...

[27539] September 4, 2013 TO: BANK, TRUST AND RETIREMENT ADVISORY COMMITTEE No. 29-13 BROKER/DEALER ADVISORY COMMITTEE No. 41-13 OPERATIONS COMMITTEE No. 44-13 SECURITIES OPERATIONS ADVISORY GROUP TRANSFER AGENT ADVISORY COMMITTEE No. 67-13 RE: SEC PUBLISHES RISK ALERT ON INVESTMENT...

[27533] September 3, 2013 TO: PENSION MEMBERS No. 41-13 BANK, TRUST AND RETIREMENT ADVISORY COMMITTEE No. 28-13 OPERATIONS COMMITTEE No. 43-13 TRANSFER AGENT ADVISORY COMMITTEE No. 66-13 TAX COMMITTEE No. 26-13 RE: TREASURY AND IRS ISSUE REVENUE RULING RECOGNIZING SAME-SEX MARRIAGES...

[27532] August 30, 2013 TO: ACCOUNTING/TREASURERS COMMITTEE No. 25-13 BANK, TRUST AND RETIREMENT ADVISORY COMMITTEE No. 27-13 BROKER/DEALER ADVISORY COMMITTEE No. 40-13 MONEY MARKET FUNDS ADVISORY COMMITTEE No. 18-13 MUNICIPAL SECURITIES ADVISORY COMMITTEE No. 21-13 OPERATIONS...

[27523] August 28, 2013 TO: ACCOUNTING/TREASURERS COMMITTEE No. 24-13 BANK, TRUST AND RETIREMENT ADVISORY COMMITTEE No. 26-13 BROKER/DEALER ADVISORY COMMITTEE No. 38-13 CLOSED-END INVESTMENT COMPANY COMMITTEE No. 20-13 OPERATIONS COMMITTEE No. 41-13 TAX COMMITTEE No. 25-13 TRANSFER...

[27495] August 27, 2013 TO: PENSION MEMBERS No. 40-13 BANK, TRUST AND RETIREMENT ADVISORY COMMITTEE No. 24-13 OPERATIONS COMMITTEE No. 40-13 TRANSFER AGENT ADVISORY COMMITTEE No. 63-13 RE: TWO FEDERAL COURTS RECOGNIZE SAME-SEX SPOUSAL RIGHTS IN STATES NOT PERMITTING SAME-SEX MARRIAGE...

[27486] August 23, 2013 TO: OPERATIONS COMMITTEE No. 39-13 RE: REGISTRATION NOW OPEN: OCTOBER 15-16, 2013 OPERATIONS COMMITTEE MEETING   The Investment Company Institute’s Operations Committee will meet on Tuesday, October 15, from 3:00 to 5:00 pm and on Wednesday, October 16, from 9...

[27481] August 21, 2013 TO: PENSION MEMBERS No. 39-13 OPERATIONS COMMITTEE No. 38-13 BANK, TRUST AND RETIREMENT ADVISORY COMMITTEE No. 23-13 TRANSFER AGENT ADVISORY COMMITTEE No. 62-13 RE: ICI COMMENT LETTER ON PBGC RFI REGARDING MISSING PARTICIPANTS IN INDIVIDUAL ACCOUNT PLANS   The...

  [27462] August 15, 2013 TO: OPERATIONS COMMITTEE No. 37-13 TRANSFER AGENT ADVISORY COMMITTEE No. 59-13 RE: SEC ANNOUNCES REGIONAL COMPLIANCE SEMINARS FOR INVESTMENT ADVISER AND INVESTMENT COMPANY SENIOR OFFICERS   The SEC has announced its plans to hold Compliance Outreach Program...