Operations Content

[27883] February 11, 2014 TO: ACCOUNTING/TREASURERS COMMITTEE No. 4-14 CLOSED-END INVESTMENT COMPANY COMMITTEE No. 3-14 DERIVATIVES MARKETS ADVISORY COMMITTEE No. 10-14 OPERATIONS COMMITTEE No. 6-14 SECURITIES OPERATIONS ADVISORY GROUP TRANSFER AGENT ADVISORY COMMITTEE No. 7-14 RE...

[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...

[27861] January 24, 2014 TO: ACCOUNTING/TREASURERS COMMITTEE No. 2-14 CLOSED-END INVESTMENT COMPANY COMMITTEE No. 2-14 DERIVATIVES MARKETS ADVISORY COMMITTEE No. 5-14 OPERATIONS COMMITTEE No. 3-14 SECURITIES OPERATIONS ADVISORY GROUP TRANSFER AGENT ADVISORY COMMITTEE No. 6-14 RE: NFA...

[27854] January 22, 2014 TO: BROKER/DEALER ADVISORY COMMITTEE No. 5-14 OPERATIONS COMMITTEE No. 2-14 TRANSFER AGENT ADVISORY COMMITTEE No. 5-14 TAAC FATCA TASK FORCE No. 2-14 TAX COMMITTEE No. 2-14 RE: ICI MUTUAL FUND TRANSFER AGENT GUIDE FOR FOREIGN ACCOUNT TAX COMPLIANCE ACT (FATCA)...

[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  ...

[27799] December 20, 2013 TO: BROKER/DEALER ADVISORY COMMITTEE No. 57-13 BANK, TRUST AND RETIREMENT ADVISORY COMMITTEE No. 46-13 OPERATIONS COMMITTEE No. 60-13 TRANSFER AGENT ADVISORY COMMITTEE No. 89-13 SMALL FUNDS COMMITTEE No. 25-13 RE: INSTITUTE PUBLISHES QUARTERLY RETIREMENT...

[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...

[27752] December 11, 2013 TO: PENSION MEMBERS No. 57-13 OPERATIONS COMMITTEE No. 56-13 TRANSFER AGENT ADVISORY COMMITTEE No. 85-13 RE: IRS EXTENDS CERTAIN DEADLINES FOR TAXPAYERS AFFECTED BY ILLINOIS SEVERE STORMS   The Internal Revenue Service (IRS) has extended certain deadlines...

[27754] December 11, 2013 TO: OPERATIONS COMMITTEE No. 57-13 RE: MARK YOUR CALENDARS: 2014 OPERATIONS COMMITTEE MEETINGS AND CALL SCHEDULE   Please mark your calendars for the following ICI Operations Committee 2014 meeting/conference call dates: 2014 Meetings: Wednesday, April 9...