Transfer Agent Advisory Content

[24354]   June 9, 2010 TO: AML COMPLIANCE WORKING GROUP No. 8-10 TRANSFER AGENT ADVISORY COMMITTEE No. 30-10 BROKER/DEALER ADVISORY COMMITTEE No. 20-10 SEC RULES COMMITTEE No. 22-10 RE: JOINT INDUSTRY ASSOCIATION LETTER ON AML PROGRAMS AND BENEFICIAL OWNERSHIP INFORMATION   On June 9...

[24340]   June 1, 2010 TO: AML COMPLIANCE WORKING GROUP No. 7-10 TRANSFER AGENT ADVISORY COMMITTEE No. 29-10 RE: DRAFT JOINT ASSOCIATION LETTER ON AML PROGRAMS AND BENEFICIAL OWNERSHIP INFORMATION   As we have discussed in recent working group teleconference calls, the Institute and...

    [24332]   May 27, 2010 TO: OPERATIONS COMMITTEE No. 11-10 SMALL FUNDS COMMITTEE No. 6-10 BROKER/DEALER ADVISORY COMMITTEE No. 16-10 TRANSFER AGENT ADVISORY COMMITTEE No. 27-10     RE: SEC STAFF RESPONDS TO QUESTIONS ABOUT MONEY MARKET FUND REFORM   The Staff of the SEC’s Division...

    [24333]   May 27, 2010 TO: BANK, TRUST AND RECORDKEEPER ADVISORY COMMITTEE No. 13-10 BROKER/DEALER ADVISORY COMMITTEE No. 17-10 OPERATIONS COMMITTEE No. 12-10 TRANSFER AGENT ADVISORY COMMITTEE No. 28-10     RE: SENATE PASSES FINANCIAL REGULATORY REFORM LEGISLATION   On May 20, the...

    [24322]   May 25, 2010 TO: BROKER/DEALER ADVISORY COMMITTEE No. 15-10 BANK, TRUST AND RECORDKEEPER ADVISORY COMMITTEE No. 12-10 OPERATIONS MEMBERS No. 6-10 SMALL FUNDS MEMBERS No. 34-10 TAX MEMBERS No. 15-10 TRANSFER AGENT ADVISORY COMMITTEE No. 26-10     RE: INSTITUTE SUBMITS...

    [24308]   May 20, 2010 TO: BANK, TRUST AND RECORDKEEPER ADVISORY COMMITTEE No. 11-10 BROKER/DEALER ADVISORY COMMITTEE No. 14-10 OPERATIONS COMMITTEE No. 10-10 SMALL FUNDS MEMBERS No. 33-10 TRANSFER AGENT ADVISORY COMMITTEE No. 25-10     RE: IRS TO SEND COMPLIANCE QUESTIONNAIRE TO...

    [24303]   May 19, 2010 TO: TRANSFER AGENT ADVISORY COMMITTEE No. 24-10     RE: TRANSFER AGENT ADVISORY COMMITTEE MEETING NOTICE - JULY 28-29, 2010   The next meeting of the Transfer Agent Advisory Committee will be held on Wednesday, July 28 from 3:00 p.m. to 5:00 p.m. ET and...

    [24298]   May 13, 2010 TO: BANK, TRUST AND RECORDKEEPER ADVISORY COMMITTEE No. 10-10 BROKER/DEALER ADVISORY COMMITTEE No. 13-10 SMALL FUNDS COMMITTEE No. 5-10 TAX COMMITTEE No. 16-10 TRANSFER AGENT ADVISORY COMMITTEE No. 23-10 OPERATIONS COMMITTEE No. 9-10     RE: DRAFT COMMENT...

    [24293]   May 11, 2010 TO: AML COMPLIANCE WORKING GROUP No. 6-10 OPERATIONS COMMITTEE No. 8-10 TRANSFER AGENT ADVISORY COMMITTEE No. 22-10 BROKER/DEALER ADVISORY COMMITTEE No. 12-10     RE: MEMBER CALL - TRAVEL RULE AND GUIDANCE ON AML PROGRAMS AND BENEFICIAL OWNERSHIP INFORMATION...

    [24279]   May 4, 2010 TO: PENSION MEMBERS No. 12-10 TAX MEMBERS No. 12-10 OPERATIONS MEMBERS No. 5-10 TRANSFER AGENT ADVISORY COMMITTEE No. 21-10 PRIVACY ISSUES WORKING GROUP No. 5-10     RE: ICI FILES COMMENT LETTER SUPPORTING IRS TIN-MASKING PILOT PROGRAM   On April 30, the...