Operations Content

    [21621]   September 21, 2007 TO: ACCOUNTING/TREASURERS COMMITTEE No. 19-07 BANK AND TRUST ADVISORY COMMITTEE No. 34-07 BROKER/DEALER ADVISORY COMMITTEE No. 57-07 CLOSED-END INVESTMENT COMPANY COMMITTEE No. 33-07 OPERATIONS COMMITTEE No. 24-07 TAX COMMITTEE No. 39-07 TRANSFER AGENT...

  [21626]   September 21, 2007 TO: PENSION MEMBERS No. 54-07 BANK, TRUST AND RECORDKEEPER ADVISORY COMMITTEE No. 33-07 BROKER/DEALER ADVISORY COMMITTEE No. 56-07 OPERATIONS COMMITTEE No. 23-07 RE: INSTITUTE ADVOCATES EFFECTIVE DISCLOSURE TO PLAN FIDUCIARIES IN TESTIMONY BEFORE ERISA...

    [21622]   September 20, 2007 TO: OPERATIONS COMMITTEE No. 22-07 RE: OPERATIONS COMMITTEE MEETING NOTICE - NOVEMBER 28-29, 2007   The next meeting of the Operations Committee will be held on Wednesday, November 28th from 3:00 to 5:00 p.m. and Thursday, November 29th from 9:30 a.m...

  [21609]   September 18, 2007 TO: COMPLIANCE ADVISORY COMMITTEE No. 19-07 CLOSED-END INVESTMENT COMPANY COMMITTEE No. 32-07 UNIT INVESTMENT TRUST COMMITTEE No. 8-07 INVESTMENT ADVISERS COMMITTEE No. 17-07 PRIVACY ISSUES WORKING GROUP No. 9-07 SMALL FUNDS COMMITTEE No. 34-07...

  [21412]   July 31, 2007 TO: BANK, TRUST AND RECORDKEEPER ADVISORY COMMITTEE No. 26-07 BROKER/DEALER ADVISORY COMMITTEE No. 44-07 OPERATIONS COMMITTEE No. 20-07 PENSION OPERATIONS ADVISORY COMMITTEE No. 22-07 SMALL FUNDS COMMITTEE No. 29-07 TRANSFER AGENT ADVISORY COMMITTEE No. 44-07...

    [21396]   July 27, 2007 TO: PENSION MEMBERS No. 44-07 FEDERAL LEGISLATION MEMBERS No. 4-07 BANK, TRUST AND RECORDKEEPER ADVISORY COMMITTEE No. 25-07 BROKER/DEALER ADVISORY COMMITTEE No. 43-07 OPERATIONS COMMITTEE No. 19-07 RE: REP. MILLER INTRODUCES 401(k) DISCLOSURE BILL  ...

    [21387]   July 24, 2007 TO: PENSION MEMBERS No. 41-07 BANK, TRUST AND RECORDKEEPER ADVISORY COMMITTEE No. 24-07 BROKER/DEALER ADVISORY COMMITTEE No. 41-07 OPERATIONS COMMITTEE No. 18-07 RE: JOINT TRADE ASSOCIATION SUBMISSION TO DOL ON PARTICIPANT DISCLOSURE   The Investment...

    [21384]   July 23, 2007 TO: BANK, TRUST AND RECORDKEEPER ADVISORY COMMITTEE No. 23-07 BROKER/DEALER ADVISORY COMMITTEE No. 39-07 OPERATIONS COMMITTEE No. 17-07 RE: INSTITUTE RESPONSE TO DOL REQUEST FOR INFORMATION ON DISCLOSURE OF FEES IN PARTICIPANT DIRECTED PLANS   Attached is...

    [21367]   July 17, 2007 TO: OPERATIONS COMMITTEE No. 16-07 TRANSFER AGENT ADVISORY COMMITTEE No. 42-07 BANK, TRUST AND RECORDKEEPER ADVISORY COMMITTEE No. 21-07 BROKER/DEALER ADVISORY COMMITTEE No. 37-07 RE: RULE 22C-2 SURVEY II RESULTS   The Transfer Agent Advisory Committee (...

    [21356]   July 13, 2007 TO: BANK, TRUST AND RECORDKEEPER ADVISORY COMMITTEE No. 20-07 BROKER/DEALER ADVISORY COMMITTEE No. 34-07 OPERATIONS COMMITTEE No. 15-07 SEC RULES COMMITTEE No. 58-07 SMALL FUNDS COMMITTEE No. 28-07 TAX COMMITTEE No. 31-07     RE: DRAFT ICI LETTER IN...