Bank, Trust and Recordkeeper Advisory Content

[28022] April 8, 2014 TO: PENSION MEMBERS No. 15-14 BANK, TRUST AND RETIREMENT ADVISORY COMMITTEE No. 17-14 OPERATIONS COMMITTEE No. 20-14 TRANSFER AGENT ADVISORY COMMITTEE No. 22-14 RE: IRS ISSUES GUIDANCE ON THE APPLICATION OF U.S. V. WINDSOR AND REVENUE RULING 2013-17 TO QUALIFIED...

[28018] April 7, 2014 TO: BANK, TRUST AND RETIREMENT ADVISORY COMMITTEE No. 16-14 BROKER/DEALER ADVISORY COMMITTEE No. 18-14 OPERATIONS COMMITTEE No. 19-14 TRANSFER AGENT ADVISORY COMMITTEE No. 21-14 RE: ICI RELEASES MUTUAL FUND OPERATIONS PLANNING GUIDE FOR AN UNEXPECTED MARKET CLOSE...

[28006] March 31, 2014 TO: BANK, TRUST AND RETIREMENT ADVISORY COMMITTEE No. 15-14 BROKER/DEALER ADVISORY COMMITTEE No. 16-14 OPERATIONS COMMITTEE No. 16-14 SMALL FUNDS COMMITTEE No. 4-14 TRANSFER AGENT ADVISORY COMMITTEE No. 19-14 RE: SUMMARY OF THE SEC’S MARCH 26 CYBERSECURITY...

[27982] March 25, 2014 TO: BANK, TRUST AND RETIREMENT ADVISORY COMMITTEE No. 13-14 OPERATIONS COMMITTEE No. 13-14 TRANSFER AGENT ADVISORY COMMITTEE No. 17-14 RE: SENATOR HARKIN INTRODUCES USA RETIREMENT FUNDS LEGISLATION   Senator Tom Harkin (D-IA), chairman of the Senate Committee on...

[27984] March 25, 2014 TO: BANK, TRUST AND RETIREMENT ADVISORY COMMITTEE No. 14-14 BROKER/DEALER ADVISORY COMMITTEE No. 15-14 OPERATIONS COMMITTEE No. 15-14 TRANSFER AGENT ADVISORY COMMITTEE No. 18-14 RE: CAMP 2014 TAX REFORM PROPOSAL   As we previously informed you, Chairman Dave...

[27968] March 21, 2014 TO: PENSION MEMBERS No. 11-14 BANK, TRUST AND RETIREMENT ADVISORY COMMITTEE No. 12-14 BROKER/DEALER ADVISORY COMMITTEE No. 13-14 TRANSFER AGENT ADVISORY COMMITTEE No. 15-14 OPERATIONS COMMITTEE No. 12-14 RE: IRS ISSUES GUIDANCE ON ONE-PER-YEAR LIMIT ON IRA...

[27960] March 14, 2014 TO: PENSION MEMBERS No. 10-14 BANK, TRUST AND RETIREMENT ADVISORY COMMITTEE No. 11-14 BROKER/DEALER ADVISORY COMMITTEE No. 12-14 OPERATIONS COMMITTEE No. 11-14 RE: DOL ISSUES PROPOSED 408(b)(2) GUIDE RULE AND FOCUS GROUP INFORMATION COLLECTION REQUEST   On March...

The members of Investment Company Institute’s Board of Governors recently agreed to support the Depository Trust & Clearing Corporation (DTCC) industry initiative to shorten the U.S. settlement cycle for equities, municipal and corporate bonds, and unit investment trusts from trade...

[27901] February 20, 2014 TO: TAX MEMBERS No. 3-14 INTERNATIONAL MEMBERS No. 6-14 INTERNATIONAL OPERATIONS ADVISORY COMMITTEE No. 4-14 TRANSFER AGENT ADVISORY COMMITTEE No. 11-14 BANK, TRUST AND RETIREMENT ADVISORY COMMITTEE No. 10-14 ICI GLOBAL MEMBERS No. 6-14 RE: TREASURY AMENDS...

[27894] February 18, 2014 TO: PENSION MEMBERS No. 4-14 BANK, TRUST AND RETIREMENT ADVISORY COMMITTEE No. 8-14 BROKER/DEALER ADVISORY COMMITTEE No. 8-14 TRANSFER AGENT ADVISORY COMMITTEE No. 9-14 OPERATIONS COMMITTEE No. 7-14 RE: TAX COURT HOLDS THAT ONE-PER-YEAR LIMIT ON IRA ROLLOVERS...