Technology Content

    [23868]   October 9, 2009 TO: TECHNOLOGY COMMITTEE No. 21-09     RE: AGENDA HIGHLIGHTS - TECHNOLOGY COMMITTEE MEETING, NOVEMBER 5 & 6, 2009   The next meeting of the Technology Committee and BCP Sub-Committee will take place on Thursday and Friday, November 5 & 6, 2009 at the...

    [23863]   October 8, 2009 TO: TECHNOLOGY COMMITTEE No. 20-09 PRIVACY ISSUES WORKING GROUP No. 13-09 INTERNAL AUDIT ADVISORY COMMITTEE No. 5-09     RE: SEC SANCTIONS REGISTRANT FOR VIOLATING REGULATION S-P BY FAILING TO REQUIRE ANTIVIRUS SOFTWARE   The SEC recently settled an...

    [23808]   September 21, 2009 TO: TECHNOLOGY COMMITTEE No. 19-09     RE: TECHNOLOGY COMMITTEE MEETING - NOVEMBER 5 & 6, 2009   The next meeting of the Technology Committee and BCP Sub-Committee will take place on Thursday and Friday, November 5 & 6, 2009 at the Investment Company...

    [23756]   September 2, 2009 TO: TECHNOLOGY COMMITTEE No. 18-09     RE: SAVE THE DATE - TECHNOLOGY COMMITTEE MEETING, NOVEMBER 5 & 6, 2009   The next meeting of the Technology Committee and BCP Sub-Committee will take place on Thursday and Friday, November 5 & 6, 2009 at the...

    [23720]   August 17, 2009 TO: BANK, TRUST AND RECORDKEEPER ADVISORY COMMITTEE No. 35-09 BROKER/DEALER ADVISORY COMMITTEE No. 47-09 COMPLIANCE MEMBERS No. 38-09 OPERATIONS MEMBERS No. 17-09 PRIMARY CONTACTS - MEMBER COMPLEX No. 10-09 PRIVACY ISSUES WORKING GROUP No. 9-09 SEC RULES...

    [23686]   August 7, 2009 TO: SEC RULES MEMBERS No. 86-09 SMALL FUNDS MEMBERS No. 47-09 COMPLIANCE MEMBERS No. 37-09 CLOSED-END INVESTMENT COMPANY MEMBERS No. 31-09 INVESTMENT ADVISER MEMBERS No. 13-09 UNIT INVESTMENT TRUST MEMBERS No. 6-09 PRIVACY ISSUES WORKING GROUP No. 8-09...

    [23674]   August 3, 2009 TO: OPERATIONS MEMBERS No. 15-09 BANK, TRUST AND RECORDKEEPER ADVISORY COMMITTEE No. 30-09 BROKER/DEALER ADVISORY COMMITTEE No. 42-09 INTERNATIONAL OPERATIONS ADVISORY COMMITTEE No. 12-09 TECHNOLOGY COMMITTEE No. 15-09 TRANSFER AGENT ADVISORY COMMITTEE No...

    [23482]   May 26, 2009 TO: TECHNOLOGY COMMITTEE No. 14-09     RE: TECHNOLOGY COMMITTEE - FUTURE MEETINGS   In order for Committee members to plan accordingly, the next two meeting dates and locations following our June 11 & 12 meeting appear below. Please mark your calendar.  ...

  URGENT/ACTION REQUESTED [23458]   May 18, 2009 TO: TECHNOLOGY COMMITTEE No. 13-09     RE: TECHNOLOGY COMMITTEE MEETING INFORMATION (JUNE 11 & 12) AND HOTEL DEADLINE (MAY 18)   The next meeting of the Technology Committee and BCP Sub-Committee will take place on Thursday and Friday...

    [23453]   May 15, 2009 TO: COMPLIANCE MEMBERS No. 23-09 PRIVACY ISSUES WORKING GROUP No. 6-09 TECHNOLOGY COMMITTEE No. 12-09 RISK MANAGEMENT ADVISORY COMMITTEE No. 5-09 TRANSFER AGENT ADVISORY COMMITTEE No. 34-09 OPERATIONS MEMBERS No. 12-09     RE: STUDY FINDS FIRMS MAY BE...