Transfer Agent Advisory Content

    [24444]   July 27, 2010 TO: SEC RULES COMMITTEE No. 30-10 CLOSED-END INVESTMENT COMPANY COMMITTEE No. 13-10 ETF ADVISORY COMMITTEE No. 32-10 SMALL FUNDS COMMITTEE No. 9-10 TRANSFER AGENT ADVISORY COMMITTEE No. 40-10 BROKER/DEALER ADVISORY COMMITTEE No. 29-10 RE: SEC CONCEPT...

    [24439]   July 26, 2010 TO: TRANSFER AGENT ADVISORY COMMITTEE No. 39-10 RE: COMPLIANCE REVIEW FOR FUND INTERMEDIARIES   You may recall that the Institute developed a compliance review tool for fund intermediaries and issued a press release announcing the availability of this new...

    [24433]   July 19, 2010 TO: BANK, TRUST AND RECORDKEEPER ADVISORY COMMITTEE No. 22-10 BROKER/DEALER ADVISORY COMMITTEE No. 28-10 OPERATIONS COMMITTEE No. 19-10 TRANSFER AGENT ADVISORY COMMITTEE No. 38-10 RE: CONGRESS APPROVES FINANCIAL REGULATORY REFORM LEGISLATION; PRESIDENT’S...

    [24424]   July 16, 2010 TO: TRANSFER AGENT ADVISORY COMMITTEE No. 36-10 RE: PRELIMINARY AGENDA FOR TAAC MEETING - JULY 28-29, 2010   The preliminary agenda for the next meeting of the Transfer Agent Advisory Committee (“TAAC”) is attached for your information.  The TAAC meeting...

  ACTION REQUESTED [24432]   July 16, 2010 TO: PENSION MEMBERS No. 29-10 BANK, TRUST AND RECORDKEEPER ADVISORY COMMITTEE No. 21-10 OPERATIONS COMMITTEE No. 18-10 TRANSFER AGENT ADVISORY COMMITTEE No. 37-10 RE: DOL RELEASES INTERIM FINAL REGULATION ON DISCLOSURE OF SERVICE PROVIDER...

    [24423]   July 16, 2010 TO: AML COMPLIANCE WORKING GROUP No. 10-10 TRANSFER AGENT ADVISORY COMMITTEE No. 35-10 RE: LETTER REQUESTING ADDITIONAL TIME TO COMPLY WITH THE TRAVEL RULE   In April, the Financial Crimes Enforcement Network (“FinCEN”) issued a final rule (the “Rule”)...

    [24417]   July 14, 2010 TO: TAX MEMBERS No. 18-10 OPERATIONS MEMBERS No. 7-10 BROKER/DEALER ADVISORY COMMITTEE No. 26-10 TRANSFER AGENT ADVISORY COMMITTEE No. 34-10 BANK, TRUST AND RECORDKEEPER ADVISORY COMMITTEE No. 19-10 RE: ICI LETTER TO TREASURY DEPARTMENT AND IRS ON REPORTING...

    [24397]   June 30, 2010 TO: BANK, TRUST AND RECORDKEEPER ADVISORY COMMITTEE No. 18-10 BROKER/DEALER ADVISORY COMMITTEE No. 25-10 OPERATIONS COMMITTEE No. 16-10 TRANSFER AGENT ADVISORY COMMITTEE No. 33-10     RE: COST BASIS REPORTING TASK FORCE - RECOMMENDED PRACTICES FOR FIRM...

  [24387]   June 25, 2010 TO: ACCOUNTING/TREASURERS MEMBERS No. 20-10 BROKER/DEALER ADVISORY COMMITTEE No. 24-10 MONEY MARKET FUNDS ADVISORY COMMITTEE No. 26-10 MUNICIPAL SECURITIES ADVISORY COMMITTEE No. 25-10 OPERATIONS COMMITTEE No. 15-10 SEC RULES MEMBERS No. 56-10 SMALL FUNDS...

[24388]   June 25, 2010 TO: AML COMPLIANCE WORKING GROUP No. 9-10 TRANSFER AGENT ADVISORY COMMITTEE No. 32-10 RE: DRAFT LETTER -  EXTENSION OF TIME FOR MUTUAL FUNDS TO COMPLY WITH THE TRAVEL RULE   In April, the Financial Crimes Enforcement Network (“FinCEN”) issued a final rule (the...