Transfer Agent Advisory Content

[24674] October 28, 2010 TO: AML COMPLIANCE WORKING GROUP No. 15-10 TRANSFER AGENT ADVISORY COMMITTEE No. 72-10 RE: MEMBER CALL AND FINCEN PROPOSAL RELATING TO DATA FIELDS AND A NEW BANK SECRECY ACT DATABASE FOR SUSPICIOUS ACTIVITY REPORTING On October 15, 2010, Financial Crimes...

[24655] October 26, 2010 TO: ACCOUNTING/TREASURERS COMMITTEE No. 13-10 BANK, TRUST AND RECORDKEEPER ADVISORY COMMITTEE No. 42-10 BROKER/DEALER ADVISORY COMMITTEE No. 49-10 OPERATIONS COMMITTEE No. 34-10 TRANSFER AGENT ADVISORY COMMITTEE No. 69-10 RE: ICI FILES COMMENT LETTER...

[24644] October 22, 2010 TO: TRANSFER AGENT ADVISORY COMMITTEE No. 67-10 RE: ICI COMMENT LETTER ON SEC CONCEPT RELEASE ON PROXY SYSTEM   In July, the Securities and Exchange Commission issued a concept release requesting comment on various aspects of the U.S. proxy system. [1]  The...

  [24647]   October 22, 2010 TO: ACCOUNTING/TREASURERS MEMBERS No. 34-10 BANK, TRUST AND RECORDKEEPER ADVISORY COMMITTEE No. 41-10 BROKER/DEALER ADVISORY COMMITTEE No. 48-10 FIXED-INCOME ADVISORY COMMITTEE No. 23-10 MONEY MARKET FUNDS ADVISORY COMMITTEE No. 54-10 MUNICIPAL SECURITIES...

    [24630]   October 20, 2010 TO: BANK, TRUST AND RECORDKEEPER ADVISORY COMMITTEE No. 39-10 BROKER/DEALER ADVISORY COMMITTEE No. 46-10 OPERATIONS COMMITTEE No. 32-10 TRANSFER AGENT ADVISORY COMMITTEE No. 65-10 RE: CONFERENCE CALL TO DISCUSS DRAFT 12B-1 COMMENT LETTER; FRIDAY, OCTOBER...

[24610] October 20, 2010 TO: BANK, TRUST AND RECORDKEEPER ADVISORY COMMITTEE No. 40-10 BROKER/DEALER ADVISORY COMMITTEE No. 47-10 OPERATIONS MEMBERS No. 13-10 SMALL FUNDS MEMBERS No. 60-10 TAX MEMBERS No. 31-10 TRANSFER AGENT ADVISORY COMMITTEE No. 66-10 RE: FINAL REGULATIONS ON COST...

  [24627]   October 19, 2010 TO: OPERATIONS COMMITTEE No. 31-10 TRANSFER AGENT ADVISORY COMMITTEE No. 64-10 BROKER/DEALER ADVISORY COMMITTEE No. 45-10 BANK, TRUST AND RECORDKEEPER ADVISORY COMMITTEE No. 38-10 RE: TAAC COST BASIS REPORTING SURVEY RESULTS   The Transfer Agent Advisory...

[24622]   October 18, 2010 TO: TRANSFER AGENT ADVISORY COMMITTEE No. 63-10 RE: FINCEN E-FILING WEBINAR - NOVEMBER 4TH   The Financial Crimes Enforcement Network (“FinCEN”) will hold an informational webinar on Thursday, November 4, 2010 at 2:00 p.m. EST that will highlight the...

  [24617]   October 15, 2010 TO: AML COMPLIANCE WORKING GROUP No. 14-10 TRANSFER AGENT ADVISORY COMMITTEE No. 62-10 RE: FINCEN GRANTS ADDITIONAL TIME TO COMPLY WITH THE TRAVEL RULE   We are pleased to inform you that the Financial Crimes Enforcement Network (“FinCEN”) has extended the...

[24616] October 14, 2010 TO: BANK, TRUST AND RECORDKEEPER ADVISORY COMMITTEE No. 37-10 BROKER/DEALER ADVISORY COMMITTEE No. 44-10 OPERATIONS COMMITTEE No. 30-10 SMALL FUNDS COMMITTEE No. 17-10 TAX COMMITTEE No. 32-10 TRANSFER AGENT ADVISORY COMMITTEE No. 61-10 RE: CONFERENCE CALL TO...