Transfer Agent Advisory Content

[24514]   August 27, 2010 TO: TAX COMMITTEE No. 26-10 TRANSFER AGENT ADVISORY COMMITTEE No. 51-10 BANK, TRUST AND RECORDKEEPER ADVISORY COMMITTEE No. 29-10 BROKER/DEALER ADVISORY COMMITTEE No. 36-10 OPERATIONS COMMITTEE No. 23-10 ACCOUNTING/TREASURERS COMMITTEE No. 10-10 CLOSED-END...

  [24507]   August 23, 2010 TO: TRANSFER AGENT ADVISORY COMMITTEE No. 49-10 RE: TRANSFER AGENT ADVISORY COMMITTEE MEETING NOTICE - OCTOBER 20-21, 2010   The next meeting of the Transfer Agent Advisory Committee will be held on Wednesday, October 20 from 2:00 p.m. to 5:00 p.m. ET and...

  [24501]   August 19, 2010 TO: PENSION MEMBERS No. 34-10 BANK, TRUST AND RECORDKEEPER ADVISORY COMMITTEE No. 27-10 OPERATIONS COMMITTEE No. 22-10 TRANSFER AGENT ADVISORY COMMITTEE No. 48-10 RE: ICI LETTER TO DOL ON FORM 5500   The Institute sent the attached letter to the Department...

  [24500]   August 18, 2010 TO: BROKER/DEALER ADVISORY COMMITTEE No. 34-10 COMPLIANCE MEMBERS No. 18-10 TRANSFER AGENT ADVISORY COMMITTEE No. 47-10 RE: SEC PUBLISHES FOR COMMENT FINRA'S PROPOSED REVISIONS TO SUITABILITY AND "KNOW YOUR CUSTOMER" RULES; COMMENTS DUE TO ICI AUGUST 27TH  ...

  [24491]   August 17, 2010 TO: 529 PLAN MEMBERS No. 2-10 COMPLIANCE MEMBERS No. 17-10 INVESTMENT ADVISER MEMBERS No. 9-10 PENSION MEMBERS No. 32-10 SEC RULES MEMBERS No. 79-10 SMALL FUNDS MEMBERS No. 44-10 TRANSFER AGENT ADVISORY COMMITTEE No. 46-10 RE: INSTITUTE CONFERENCE CALL ON...

    [24481]   August 11, 2010 TO: BANK, TRUST AND RECORDKEEPER ADVISORY COMMITTEE No. 25-10 BROKER/DEALER ADVISORY COMMITTEE No. 33-10 OPERATIONS COMMITTEE No. 21-10 TRANSFER AGENT ADVISORY COMMITTEE No. 45-10 RE: AUGUST 24, 2010 CONFERENCE CALL ON SEC'S RULE 12B-1 PROPOSAL   As you...

[24454]   July 29, 2010 TO: COMPLIANCE MEMBERS No. 14-10 OPERATIONS MEMBERS No. 10-10 SEC RULES MEMBERS No. 70-10 TRANSFER AGENT ADVISORY COMMITTEE No. 43-10 RE: NEW CALIFORNIA ACCOUNT OPENING DISCLOSURE REQUIREMENT   Effective January 1, 2011, California law requires all banking and...

[24452]   July 29, 2010 TO: ACCOUNTING/TREASURERS COMMITTEE No. 7-10 BANK, TRUST AND RECORDKEEPER ADVISORY COMMITTEE No. 24-10 BROKER/DEALER ADVISORY COMMITTEE No. 31-10 OPERATIONS COMMITTEE No. 20-10 PENSION COMMITTEE No. 19-10 PENSION OPERATIONS ADVISORY COMMITTEE No. 18-10 SEC...

  [24455]   July 29, 2010 TO: TRANSFER AGENT ADVISORY COMMITTEE No. 44-10 RE: IMPLICATIONS ON TRANSFER AGENTS OF THE SEC’S NEWLY ADOPTED PAY-TO-PLAY RESTRICTIONS FOR INVESTMENT ADVISERS   The Securities and Exchange Commission has adopted a new rule designed to inhibit pay-to-play...

  [24449]   July 28, 2010 TO: ACCOUNTING/TREASURERS MEMBERS No. 22-10 BANK, TRUST AND RECORDKEEPER ADVISORY COMMITTEE No. 23-10 BOARD OF GOVERNORS No. 7-10 BROKER/DEALER ADVISORY COMMITTEE No. 30-10 OPERATIONS MEMBERS No. 9-10 PENSION MEMBERS No. 31-10 PENSION OPERATIONS ADVISORY...