Operations Content

  [24530] September 8, 2010 TO: COMPLIANCE MEMBERS No. 19-10 SEC RULES MEMBERS No. 87-10 SMALL FUNDS MEMBERS No. 49-10 AML COMPLIANCE WORKING GROUP No. 12-10 BROKER/DEALER ADVISORY COMMITTEE No. 37-10 OPERATIONS COMMITTEE No. 25-10 TRANSFER AGENT ADVISORY COMMITTEE No. 53-10 RE: SEC...

  [24520]   August 30, 2010 TO: PENSION MEMBERS No. 36-10 BANK, TRUST AND RECORDKEEPER ADVISORY COMMITTEE No. 30-10 TRANSFER AGENT ADVISORY COMMITTEE No. 52-10 OPERATIONS COMMITTEE No. 24-10 RE: INSTITUTE COMMENT LETTER ON DOL 408(b)(2) SERVICE PROVIDER DISCLOSURE INTERIM FINAL...

[24514]   August 27, 2010 TO: TAX COMMITTEE No. 26-10 TRANSFER AGENT ADVISORY COMMITTEE No. 51-10 BANK, TRUST AND RECORDKEEPER ADVISORY COMMITTEE No. 29-10 BROKER/DEALER ADVISORY COMMITTEE No. 36-10 OPERATIONS COMMITTEE No. 23-10 ACCOUNTING/TREASURERS COMMITTEE No. 10-10 CLOSED-END...

  [24501]   August 19, 2010 TO: PENSION MEMBERS No. 34-10 BANK, TRUST AND RECORDKEEPER ADVISORY COMMITTEE No. 27-10 OPERATIONS COMMITTEE No. 22-10 TRANSFER AGENT ADVISORY COMMITTEE No. 48-10 RE: ICI LETTER TO DOL ON FORM 5500   The Institute sent the attached letter to the Department...

    [24481]   August 11, 2010 TO: BANK, TRUST AND RECORDKEEPER ADVISORY COMMITTEE No. 25-10 BROKER/DEALER ADVISORY COMMITTEE No. 33-10 OPERATIONS COMMITTEE No. 21-10 TRANSFER AGENT ADVISORY COMMITTEE No. 45-10 RE: AUGUST 24, 2010 CONFERENCE CALL ON SEC'S RULE 12B-1 PROPOSAL   As you...

[24452]   July 29, 2010 TO: ACCOUNTING/TREASURERS COMMITTEE No. 7-10 BANK, TRUST AND RECORDKEEPER ADVISORY COMMITTEE No. 24-10 BROKER/DEALER ADVISORY COMMITTEE No. 31-10 OPERATIONS COMMITTEE No. 20-10 PENSION COMMITTEE No. 19-10 PENSION OPERATIONS ADVISORY COMMITTEE No. 18-10 SEC...

    [24433]   July 19, 2010 TO: BANK, TRUST AND RECORDKEEPER ADVISORY COMMITTEE No. 22-10 BROKER/DEALER ADVISORY COMMITTEE No. 28-10 OPERATIONS COMMITTEE No. 19-10 TRANSFER AGENT ADVISORY COMMITTEE No. 38-10 RE: CONGRESS APPROVES FINANCIAL REGULATORY REFORM LEGISLATION; PRESIDENT’S...

  ACTION REQUESTED [24432]   July 16, 2010 TO: PENSION MEMBERS No. 29-10 BANK, TRUST AND RECORDKEEPER ADVISORY COMMITTEE No. 21-10 OPERATIONS COMMITTEE No. 18-10 TRANSFER AGENT ADVISORY COMMITTEE No. 37-10 RE: DOL RELEASES INTERIM FINAL REGULATION ON DISCLOSURE OF SERVICE PROVIDER...

[24420]   July 15, 2010 TO: BROKER/DEALER ADVISORY COMMITTEE No. 27-10 BANK, TRUST AND RECORDKEEPER ADVISORY COMMITTEE No. 20-10 CHIEF COMPLIANCE OFFICER COMMITTEE No. 6-10 COMPLIANCE ADVISORY COMMITTEE No. 7-10 OPERATIONS COMMITTEE No. 17-10 RE: COMPLIANCE REVIEW FOR FUND...

    [24397]   June 30, 2010 TO: BANK, TRUST AND RECORDKEEPER ADVISORY COMMITTEE No. 18-10 BROKER/DEALER ADVISORY COMMITTEE No. 25-10 OPERATIONS COMMITTEE No. 16-10 TRANSFER AGENT ADVISORY COMMITTEE No. 33-10     RE: COST BASIS REPORTING TASK FORCE - RECOMMENDED PRACTICES FOR FIRM...