[27874] January 31, 2014 TO: PENSION MEMBERS No. 3-14 BANK, TRUST AND RETIREMENT ADVISORY COMMITTEE No. 7-14 OPERATIONS COMMITTEE No. 5-14 RE: ICI LETTER TO DEPARTMENT OF COMMERCE REGARDING CONTINUOUS DEATH MASTER FILE ACCESS The Institute joined 14 other trade organizations in...
[27863] January 27, 2014 TO: PENSION MEMBERS No. 2-14 BROKER/DEALER ADVISORY COMMITTEE No. 6-14 BANK, TRUST AND RETIREMENT ADVISORY COMMITTEE No. 6-14 OPERATIONS COMMITTEE No. 4-14 RE: FINRA ISSUES INVESTOR ALERT REGARDING IRA ROLLOVERS Following up on its recent guidance in...
[27847] January 16, 2014 TO: ACCOUNTING/TREASURERS MEMBERS No. 1-14 BANK, TRUST AND RETIREMENT ADVISORY COMMITTEE No. 5-14 BROKER/DEALER ADVISORY COMMITTEE No. 4-14 COMPLIANCE MEMBERS No. 3-14 INVESTMENT COMPANY DIRECTORS No. 2-14 OPERATIONS MEMBERS No. 2-14 SMALL FUNDS MEMBERS No. 2...
[27843] January 14, 2014 TO: BANK, TRUST AND RETIREMENT ADVISORY COMMITTEE No. 3-14 RE: INSTITUTE PUBLISHES YEAR-END 2012 EBRI/ICI 401(K) PLAN UPDATE In December 2013, the Employee Benefit Research Institute (EBRI) and ICI published the annual EBRI/ICI 401(k) database update for...
[27841] January 14, 2014 TO: BANK, TRUST AND RETIREMENT ADVISORY COMMITTEE No. 4-14 RE: IRS PUBLISHES GUIDANCE ON IN-PLAN ROTH ROLLOVERS On December 11, 2013, the Internal Revenue Service (IRS) released Notice 2013-74, [1] which provides long-awaited guidance on rollovers within a...
[27839] January 13, 2014 TO: BANK, TRUST AND RETIREMENT ADVISORY COMMITTEE No. 2-14 RE: SEC PUBLISHES THE PRIORITIES FOR ITS NATIONAL EXAMINATION PROGRAM IN 2014 The National Examination Program (“NEP”) within the SEC’s Office of Compliance Inspections and Examinations (“OCIE”) has...
[27822] January 8, 2014 TO: PENSION MEMBERS No. 1-14 BROKER/DEALER ADVISORY COMMITTEE No. 2-14 BANK, TRUST AND RETIREMENT ADVISORY COMMITTEE No. 1-14 OPERATIONS COMMITTEE No. 1-14 RE: FINRA ISSUES REGULATORY GUIDANCE REMINDING FIRMS OF THEIR RESPONSIBILITIES REGARDING IRA ROLLOVERS ...
[27792] December 18, 2013 TO: BANK, TRUST AND RETIREMENT ADVISORY COMMITTEE No. 44-13 RE: BTRAC MEETING NOTICE - JANUARY 29-30, 2014 The next Bank, Trust and Retirement Advisory Committee meeting will be held on Wednesday, January 29 and Thursday, January 30, 2014 at the offices of...
[27795] December 18, 2013 TO: PENSION MEMBERS No. 62-13 OPERATIONS COMMITTEE No. 59-13 BANK, TRUST AND RETIREMENT ADVISORY COMMITTEE No. 45-13 BROKER/DEALER ADVISORY COMMITTEE No. 56-13 TRANSFER AGENT ADVISORY COMMITTEE No. 88-13 RE: INSTITUTE LETTER TO DOL ON TIMING OF ANNUAL...
