Operations Content

22086   January 2, 2008 TO: PENSION MEMBERS No. 1-08 FEDERAL LEGISLATION MEMBERS No. 1-08 BANK, TRUST AND RECORDKEEPER ADVISORY COMMITTEE No. 1-08 BROKER/DEALER ADVISORY COMMITTEE No. 1-08 OPERATIONS COMMITTEE No. 1-08 RE: SENATORS HARKIN AND KOHL INTRODUCE 401(k) DISCLOSURE BILL  ...

  [22017]   December 5, 2007 TO: TRANSFER AGENT ADVISORY COMMITTEE No. 85-07 SEC RULES COMMITTEE No. 92-07 OPERATIONS COMMITTEE No. 33-07 RE: NEVADA LAW REQUIRING REGISTRATION OF TRANSFER AGENTS LIMITED IN APPLICATION   At recent ICI Committee meetings, I discussed a recent amendment...

    [22001]   November 30, 2007 TO: SEC RULES COMMITTEE No. 91-07 SMALL FUNDS COMMITTEE No. 39-07 OPERATIONS COMMITTEE No. 32-07 ETF ADVISORY COMMITTEE No. 35-07 TECHNOLOGY COMMITTEE No. 30-07 RE: SEC PROPOSES ENHANCED DISCLOSURE AND NEW DELIVERY OPTION FOR MUTUAL FUNDS; TWO...

    [21967]   November 20, 2007 TO: BROKER/DEALER ADVISORY COMMITTEE No. 72-07 OPERATIONS COMMITTEE No. 31-07 TRANSFER AGENT ADVISORY COMMITTEE No. 82-07 RE: DEPARTMENT OF LABOR RELEASES FINAL FORM 5500; CONFERENCE CALL SCHEDULED FOR DECEMBER 5 AT 3:30 PM ET   The Department of Labor...

  [21911]   October 31, 2007 TO: PENSION MEMBERS No. 62-07 FEDERAL LEGISLATION MEMBERS No. 10-07 BANK, TRUST AND RECORDKEEPER ADVISORY COMMITTEE No. 48-07 BROKER/DEALER ADVISORY COMMITTEE No. 70-07 OPERATIONS COMMITTEE No. 30-07 RE: INSTITUTE URGES MAKING 401(k) DISCLOSURE MORE...

  [21842]   October 15, 2007 TO: OPERATIONS COMMITTEE No. 29-07 TRANSFER AGENT ADVISORY COMMITTEE No. 72-07 BROKER/DEALER ADVISORY COMMITTEE No. 67-07 BANK, TRUST AND RECORDKEEPER ADVISORY COMMITTEE No. 43-07 RE: MODEL TRANSFER OF ASSETS REQUEST FORM   The Transfer Agent Advisory...

  [21821]   October 10, 2007 TO: BANK, TRUST AND RECORDKEEPER ADVISORY COMMITTEE No. 41-07 BROKER/DEALER ADVISORY COMMITTEE No. 65-07 OPERATIONS COMMITTEE No. 28-07 RE: MODEL INFORMATION SHARING AGREEMENT FOR 403(B) PLANS   Attached is the ICI Model Information Sharing Agreement for...

  [21760]   October 5, 2007 TO: PENSION MEMBERS No. 56-07 FEDERAL LEGISLATION MEMBERS No. 8-07 BANK, TRUST AND RECORDKEEPER ADVISORY COMMITTEE No. 40-07 BROKER/DEALER ADVISORY COMMITTEE No. 63-07 OPERATIONS COMMITTEE No. 27-07 RE: REP. NEAL INTRODUCES DEFINED CONTRIBUTION PLAN...

    [21757]   October 5, 2007 TO: PENSION MEMBERS No. 55-07 FEDERAL LEGISLATION MEMBERS No. 7-07 BANK, TRUST AND RECORDKEEPER ADVISORY COMMITTEE No. 39-07 BROKER/DEALER ADVISORY COMMITTEE No. 62-07 OPERATIONS COMMITTEE No. 26-07 RE: INSTITUTE STATEMENT ON H.R. 3185, THE 401(K) FAIR...

  [21722]   October 3, 2007 TO: BANK, TRUST AND RECORDKEEPER ADVISORY COMMITTEE No. 37-07 BROKER/DEALER ADVISORY COMMITTEE No. 61-07 CHIEF COMPLIANCE OFFICER COMMITTEE No. 21-07 COMPLIANCE ADVISORY COMMITTEE No. 20-07 OPERATIONS COMMITTEE No. 25-07 PENSION OPERATIONS ADVISORY...