Operations Content

    [24177]   March 9, 2010 TO: AML COMPLIANCE WORKING GROUP No. 3-10 OPERATIONS COMMITTEE No. 5-10 TRANSFER AGENT ADVISORY COMMITTEE No. 15-10     RE: MEMBER CALL AND FINCEN GUIDANCE ON AML PROGRAMS AND BENEFICIAL OWNERSHIP INFORMATION   On March 5th, the Financial Crimes Enforcement...

    [24138]   February 18, 2010 TO: PENSION COMMITTEE No. 3-10 PENSION OPERATIONS ADVISORY COMMITTEE No. 3-10 TAX COMMITTEE No. 5-10 OPERATIONS COMMITTEE No. 4-10 TRANSFER AGENT ADVISORY COMMITTEE No. 10-10 PRIVACY ISSUES WORKING GROUP No. 1-10     RE: ICI CONFERENCE CALL ON IRS TIN...

    [24111]   January 29, 2010 TO: BROKER/DEALER ADVISORY COMMITTEE No. 5-10 BANK, TRUST AND RECORDKEEPER ADVISORY COMMITTEE No. 3-10 OPERATIONS COMMITTEE No. 3-10 SMALL FUNDS COMMITTEE No. 2-10 TAX COMMITTEE No. 2-10 TRANSFER AGENT ADVISORY COMMITTEE No. 4-10     RE: DRAFT INSTITUTE...

    [24107]   January 28, 2010 TO: CLOSED-END INVESTMENT COMPANY MEMBERS No. 9-10 COMPLIANCE MEMBERS No. 5-10 INVESTMENT COMPANY DIRECTORS No. 4-10 OPERATIONS COMMITTEE No. 2-10 SEC RULES MEMBERS No. 13-10 SMALL FUNDS MEMBERS No. 9-10     RE: IDC ISSUES TASK FORCE REPORT ON BOARD...

    [24072]   January 12, 2010 TO: OPERATIONS COMMITTEE No. 1-10     RE: OPERATIONS COMMITTEE MEETING NOTICE - APRIL 14-15, 2010   The next meeting of the Operations Committee will be held on Wednesday, April 14th from 3:00 to 5:00 p.m. and Thursday, April 15th from 9:30 a.m. to 2:00...

    [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...

    [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...

    [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...

    [23776]   September 10, 2009 TO: OPERATIONS COMMITTEE No. 17-09     RE: OPERATIONS COMMITTEE MEETING NOTICE - NOVEMBER 17-18, 2009   The next meeting of the Operations Committee will be held on Tuesday, November 17th from 3:00 to 5:00 p.m. and Wednesday, November 18th from 9:30 a...