Transfer Agent Advisory Content

  ACTION REQUESTED [24257]   April 22, 2010 TO: PENSION COMMITTEE No. 11-10 PENSION OPERATIONS ADVISORY COMMITTEE No. 9-10 TAX COMMITTEE No. 11-10 OPERATIONS COMMITTEE No. 7-10 TRANSFER AGENT ADVISORY COMMITTEE No. 20-10 PRIVACY ISSUES WORKING GROUP No. 4-10     RE: DRAFT COMMENT...

    [24250]   April 20, 2010 TO: TRANSFER AGENT ADVISORY COMMITTEE No. 19-10     RE: PRELIMINARY AGENDA - TAAC MEETING MAY 4-5, 2010   The preliminary agenda for the next meeting of the Transfer Agent Advisory Committee (“TAAC”) is attached for your information.  The TAAC meeting will...

    [24236]   April 15, 2010 TO: CLOSED-END INVESTMENT COMPANY MEMBERS No. 21-10 COMPLIANCE MEMBERS No. 8-10 INVESTMENT ADVISER MEMBERS No. 3-10 OPERATIONS MEMBERS No. 4-10 PRIVACY ISSUES WORKING GROUP No. 2-10 SEC RULES MEMBERS No. 33-10 SMALL FUNDS MEMBERS No. 24-10 TRANSFER AGENT...

    [24233]   April 14, 2010 TO: AML COMPLIANCE WORKING GROUP No. 5-10 TRANSFER AGENT ADVISORY COMMITTEE No. 17-10     RE: FINCEN ISSUES FINAL RULE ON CTR FILINGS AND THE TRAVEL RULE; MEMBER CALL ON MAY 3RD   The Financial Crimes Enforcement Network (“FinCEN”) issued a final rule to...

    [24220]   April 7, 2010 TO: AML COMPLIANCE WORKING GROUP No. 4-10 OPERATIONS COMMITTEE No. 6-10 TRANSFER AGENT ADVISORY COMMITTEE No. 16-10 BANK, TRUST AND RECORDKEEPER ADVISORY COMMITTEE No. 8-10 BROKER/DEALER ADVISORY COMMITTEE No. 11-10 SMALL FUNDS COMMITTEE No. 3-10     RE...

    [24177]   March 9, 2010 TO: AML COMPLIANCE WORKING GROUP No. 3-10 OPERATIONS COMMITTEE No. 5-10 TRANSFER AGENT ADVISORY COMMITTEE No. 15-10     RE: MEMBER CALL AND FINCEN GUIDANCE ON AML PROGRAMS AND BENEFICIAL OWNERSHIP INFORMATION   On March 5th, the Financial Crimes Enforcement...

    [24170]   March 4, 2010 TO: TRANSFER AGENT ADVISORY COMMITTEE No. 14-10     RE: TRANSFER AGENT ADVISORY COMMITTEE MEETING NOTICE - MAY 4-5 2010   The next meeting of the Transfer Agent Advisory Committee will be held on Tuesday, May 4 from 3:00 p.m. to 5:00 p.m. ET and Wednesday...

    [24147]   February 24, 2010 TO: BROKER/DEALER ADVISORY COMMITTEE No. 7-10 CHIEF COMPLIANCE OFFICER COMMITTEE No. 3-10 COMPLIANCE ADVISORY COMMITTEE No. 3-10 SEC RULES COMMITTEE No. 9-10 TRANSFER AGENT ADVISORY COMMITTEE No. 12-10     RE: ICI FILES LETTER WITH FINRA SUPPORTING...

    [24148]   February 24, 2010 TO: ACCOUNTING/TREASURERS MEMBERS No. 8-10 BANK, TRUST AND RECORDKEEPER ADVISORY COMMITTEE No. 6-10 BOARD OF GOVERNORS No. 2-10 BROKER/DEALER ADVISORY COMMITTEE No. 8-10 MONEY MARKET FUNDS ADVISORY COMMITTEE No. 6-10 MUNICIPAL SECURITIES ADVISORY...

    [24143]   February 22, 2010 TO: COMPLIANCE MEMBERS No. 6-10 INVESTMENT ADVISER MEMBERS No. 2-10 OPERATIONS MEMBERS No. 2-10 SEC RULES MEMBERS No. 18-10 SMALL FUNDS MEMBERS No. 12-10 TRANSFER AGENT ADVISORY COMMITTEE No. 11-10     RE: SEC THIRD-PARTY VERIFICATION DOCUMENT REQUEST...