Bank, Trust and Recordkeeper Advisory Content

[26228] June 11, 2012 TO: BANK, TRUST AND RETIREMENT ADVISORY COMMITTEE No. 24-12 BROKER/DEALER ADVISORY COMMITTEE No. 27-12 COMPLIANCE MEMBERS No. 8-12 INVESTMENT ADVISER MEMBERS No. 13-12 OPERATIONS MEMBERS No. 2-12 SMALL FUNDS MEMBERS No. 18-12 TRANSFER AGENT ADVISORY COMMITTEE No...

[26230] June 11, 2012 TO: BANK, TRUST AND RETIREMENT ADVISORY COMMITTEE No. 25-12 BROKER/DEALER ADVISORY COMMITTEE No. 28-12 TRANSFER AGENT ADVISORY COMMITTEE No. 36-12 RE: CALIFORNIA REMINDS HOLDERS OF ABANDONED PROPERTY TO FILE THEIR REQUIRED REMITTANCE REPORTS BY JUNE 15TH  ...

  [26206] May 29, 2012 TO: BDAC COST BASIS REPORTING TASK FORCE No. 9-12 BANK, TRUST AND RETIREMENT ADVISORY COMMITTEE No. 23-12 BROKER/DEALER ADVISORY COMMITTEE No. 24-12 OPERATIONS COMMITTEE No. 17-12 SMALL FUNDS COMMITTEE No. 17-12 TAAC COST BASIS REPORTING TASK FORCE No. 6-12 TAX...

  [26184] May 23, 2012 TO: PENSION COMMITTEE No. 17-12 PENSION OPERATIONS ADVISORY COMMITTEE No. 17-12 SEC RULES COMMITTEE No. 33-12 SMALL FUNDS COMMITTEE No. 16-12 ADVERTISING COMPLIANCE ADVISORY COMMITTEE No. 13-12 529 PLAN ADVISORY COMMITTEE No. 3-12 BANK, TRUST AND RETIREMENT...

[26153] May 11, 2012 TO: PENSION MEMBERS No. 21-12 BANK, TRUST AND RETIREMENT ADVISORY COMMITTEE No. 22-12 RE: DOL ISSUES SUPPLEMENTAL GUIDANCE ON PARTICIPANT DISCLOSURE RULES   The Department of Labor issued Field Assistance Bulletin 2012-02, [1] which provides answers to frequently...

  [26151] May 8, 2012 TO: BDAC COST BASIS REPORTING TASK FORCE No. 8-12 BANK, TRUST AND RETIREMENT ADVISORY COMMITTEE No. 21-12 BROKER/DEALER ADVISORY COMMITTEE No. 23-12 OPERATIONS COMMITTEE No. 16-12 SMALL FUNDS COMMITTEE No. 15-12 TAAC COST BASIS REPORTING TASK FORCE No. 5-12 TAX...

[26148] May 7, 2012 TO: AML COMPLIANCE WORKING GROUP No. 4-12 TRANSFER AGENT ADVISORY COMMITTEE No. 30-12 BROKER/DEALER ADVISORY COMMITTEE No. 22-12 BANK, TRUST AND RETIREMENT ADVISORY COMMITTEE No. 20-12 OPERATIONS COMMITTEE No. 15-12 RE: ICI COMMENT LETTER ON FINCEN'S ADVANCE NOTICE...

[26085] April 26, 2012 TO: PENSION MEMBERS No. 18-12 BANK, TRUST AND RETIREMENT ADVISORY COMMITTEE No. 19-12 RE: UPDATED SAMPLE GLOSSARY OF INVESTMENT-RELATED TERMS FOR PARTICIPANT DISCLOSURE   ICI and The SPARK Institute have updated the attached sample glossary of investment-related...

[26084] April 25, 2012 TO: 529 PLAN MEMBERS No. 4-12 ACCOUNTING/TREASURERS MEMBERS No. 8-12 ADVISER DISTRIBUTOR TAX ISSUES TASK FORCE No. 7-12 BDAC COST BASIS REPORTING TASK FORCE No. 7-12 BANK, TRUST AND RETIREMENT ADVISORY COMMITTEE No. 18-12 BROKER/DEALER ADVISORY COMMITTEE No. 19...

[26071] April 24, 2012 TO: ADVISER DISTRIBUTOR TAX ISSUES TASK FORCE No. 6-12 BANK, TRUST AND RETIREMENT ADVISORY COMMITTEE No. 17-12 BDAC COST BASIS REPORTING TASK FORCE No. 6-12 BROKER/DEALER ADVISORY COMMITTEE No. 18-12 OPERATIONS COMMITTEE No. 12-12 SMALL FUNDS COMMITTEE No. 13-12...