Operations Content

[22729] July 24, 2008 TO: BOARD OF GOVERNORS No. 6-08 CLOSED-END INVESTMENT COMPANY MEMBERS No. 27-08 COMPLIANCE MEMBERS No. 32-08 INVESTMENT COMPANY DIRECTORS No. 11-08 OPERATIONS COMMITTEE No. 11-08 SEC RULES MEMBERS No. 67-08 SMALL FUNDS MEMBERS No. 45-08 RE: IDC ISSUES TASK FORCE...

[22698] July 16, 2008 TO: PENSION MEMBERS No. 40-08 BROKER/DEALER ADVISORY COMMITTEE No. 19-08 BANK, TRUST AND RECORDKEEPER ADVISORY COMMITTEE No. 21-08 OPERATIONS COMMITTEE No. 10-08 TRANSFER AGENT ADVISORY COMMITTEE No. 32-08 RE: DOL ADDRESSES MUTUAL FUND REPORTING ISSUES IN...

    [22442]   April 18, 2008 TO: PENSION MEMBERS No. 24-08 FEDERAL LEGISLATION MEMBERS No. 5-08 BANK, TRUST AND RECORDKEEPER ADVISORY COMMITTEE No. 12-08 BROKER/DEALER ADVISORY COMMITTEE No. 12-08 OPERATIONS COMMITTEE No. 9-08     RE: HOUSE EDUCATION AND LABOR COMMITTEE APPROVES 401(k...

    [22407]   April 9, 2008 TO: CLOSED-END INVESTMENT COMPANY COMMITTEE No. 15-08 COMPLIANCE ADVISORY COMMITTEE No. 7-08 INVESTMENT ADVISERS COMMITTEE No. 7-08 OPERATIONS COMMITTEE No. 8-08 PRIVACY ISSUES WORKING GROUP No. 2-08 SEC RULES COMMITTEE No. 28-08 SMALL FUNDS COMMITTEE No...

    [22396]   April 4, 2008 TO: OPERATIONS COMMITTEE No. 7-08 TRANSFER AGENT ADVISORY COMMITTEE No. 19-08     RE: SECURITIES REGULATORS ANNOUNCE NEW INITIATIVE TO PROTECT SENIOR INVESTORS; PARTICIPATION BY FUND FIRMS SOUGHT   The Securities and Exchange Commission, the North American...

    [22332]   March 14, 2008 TO: AML COMPLIANCE WORKING GROUP No. 2-08 OPERATIONS COMMITTEE No. 6-08 TRANSFER AGENT ADVISORY COMMITTEE No. 15-08     RE: TAAC SUSPICIOUS ACTIVITY REPORTING ("SAR") SURVEY II RESULTS   The Transfer Agent Advisory Committee established a task force...

    [22305]   March 7, 2008 TO: CLOSED-END INVESTMENT COMPANY COMMITTEE No. 4-08 COMPLIANCE ADVISORY COMMITTEE No. 4-08 INVESTMENT ADVISERS COMMITTEE No. 3-08 OPERATIONS COMMITTEE No. 5-08 PRIVACY ISSUES WORKING GROUP No. 1-08 SEC RULES COMMITTEE No. 18-08 SMALL FUNDS COMMITTEE No. 7...

    [22265]   February 21, 2008 TO: OPERATIONS COMMITTEE No. 4-08     RE: OPERATIONS COMMITTEE MEETING NOTICE - APRIL 23-24, 2008   The next meeting of the Operations Committee will be held on Wednesday, April 23rd from 3:00 to 5:00 p.m. and Thursday, April 24th from 9:30 a.m. to 2:00...

    [22188]   February 6, 2008 TO: BROKER/DEALER ADVISORY COMMITTEE No. 5-08 OPERATIONS COMMITTEE No. 3-08 SEC RULES COMMITTEE No. 11-08 SMALL FUNDS COMMITTEE No. 4-08 TRANSFER AGENT ADVISORY COMMITTEE No. 5-08     RE: DRAFT ICI COMMENT LETTER ON SEC DISCLOSURE REFORM PROPOSAL...

    [22179]   February 1, 2008 TO: OPERATIONS COMMITTEE No. 2-08 TRANSFER AGENT ADVISORY COMMITTEE No. 3-08 BROKER/DEALER ADVISORY COMMITTEE No. 3-08 BANK, TRUST AND RECORDKEEPER ADVISORY COMMITTEE No. 3-08 INTERNATIONAL OPERATIONS ADVISORY COMMITTEE No. 2-08     RE: 2007 PANDEMIC...