Bank, Trust and Recordkeeper Advisory Content

[28325] August 19, 2014 TO: BANK, TRUST AND RETIREMENT ADVISORY COMMITTEE No. 38-14 BROKER/DEALER ADVISORY COMMITTEE No. 43-14 OPERATIONS COMMITTEE No. 39-14 RE: ICI SUBMITS COMMENT LETTER IN RESPONSE TO FINRA'S RULE 2210 BROKERCHECK PROPOSAL   As previously reported, [1] FINRA has...

[28318] August 18, 2014 TO: PENSION MEMBERS No. 34-14 BANK, TRUST AND RETIREMENT ADVISORY COMMITTEE No. 36-14 TRANSFER AGENT ADVISORY COMMITTEE No. 53-14 OPERATIONS MEMBERS No. 13-14 RE: DOL ISSUES UPDATED GUIDANCE ON FIDUCIARY DUTIES AND MISSING PARTICIPANTS IN TERMINATED DEFINED...

[28296] August 4, 2014 TO: ACCOUNTING/TREASURERS COMMITTEE No. 20-14 BANK, TRUST AND RETIREMENT ADVISORY COMMITTEE No. 35-14 BROKER/DEALER ADVISORY COMMITTEE No. 40-14 MONEY MARKET FUNDS ADVISORY COMMITTEE No. 18-14 MONEY MARKET WORKING GROUP MUNICIPAL SECURITIES ADVISORY COMMITTEE No...

[28290] July 31, 2014 TO: ACCOUNTING/TREASURERS COMMITTEE No. 19-14 BANK, TRUST AND RETIREMENT ADVISORY COMMITTEE No. 34-14 BROKER/DEALER ADVISORY COMMITTEE No. 39-14 MONEY MARKET FUNDS ADVISORY COMMITTEE No. 17-14 MONEY MARKET WORKING GROUP MUNICIPAL SECURITIES ADVISORY COMMITTEE No...

[28281] July 24, 2014 TO: ACCOUNTING/TREASURERS MEMBERS No. 10-14 BANK, TRUST AND RETIREMENT ADVISORY COMMITTEE No. 33-14 BROKER/DEALER ADVISORY COMMITTEE No. 38-14 MONEY MARKET FUNDS ADVISORY COMMITTEE No. 16-14 MUNICIPAL SECURITIES ADVISORY COMMITTEE No. 13-14 OPERATIONS MEMBERS No...

[28261] July 11, 2014 TO: PENSION MEMBERS No. 31-14 BANK, TRUST AND RETIREMENT ADVISORY COMMITTEE No. 32-14 BROKER/DEALER ADVISORY COMMITTEE No. 36-14 TRANSFER AGENT ADVISORY COMMITTEE No. 45-14 OPERATIONS MEMBERS No. 8-14 RE: IRS WITHDRAWS PROPOSED REGULATORY AMENDMENT REGARDING IRA...

[28260] July 11, 2014 TO: PENSION MEMBERS No. 30-14 BANK, TRUST AND RETIREMENT ADVISORY COMMITTEE No. 31-14 OPERATIONS MEMBERS No. 7-14 TRANSFER AGENT ADVISORY COMMITTEE No. 44-14 RE: GAO ISSUES REPORT ON USEFULNESS OF FORM 5500 INFORMATION   The Government Accountability Office (GAO)...

[28252] July 9, 2014 TO: PENSION MEMBERS No. 29-14 BANK, TRUST AND RETIREMENT ADVISORY COMMITTEE No. 30-14 TRANSFER AGENT ADVISORY COMMITTEE No. 43-14 OPERATIONS COMMITTEE No. 35-14 RE: FINAL REGULATIONS ON RMD EXEMPTION FOR LONGEVITY INSURANCE   The IRS has published final...

[28226] June 24, 2014 TO: PENSION MEMBERS No. 27-14 BANK, TRUST AND RETIREMENT ADVISORY COMMITTEE No. 29-14 OPERATIONS MEMBERS No. 6-14 TRANSFER AGENT ADVISORY COMMITTEE No. 41-14 RE: SUPREME COURT HOLDS THAT INHERITED IRAs ARE NOT EXCLUDED FROM DEBTOR’S BANKRUPTCY ESTATE   On June 12...

[28193] June 18, 2014 TO: COMPLIANCE MEMBERS No. 11-14 OPERATIONS MEMBERS No. 5-14 SEC RULES MEMBERS No. 23-14 BROKER/DEALER ADVISORY COMMITTEE No. 33-14 BANK, TRUST AND RETIREMENT ADVISORY COMMITTEE No. 26-14 TRANSFER AGENT ADVISORY COMMITTEE No. 35-14 SALES FORCE MARKETING COMMITTEE...