Transfer Agent Advisory Content

    [24138]   February 18, 2010 TO: PENSION COMMITTEE No. 3-10 PENSION OPERATIONS ADVISORY COMMITTEE No. 3-10 TAX COMMITTEE No. 5-10 OPERATIONS COMMITTEE No. 4-10 TRANSFER AGENT ADVISORY COMMITTEE No. 10-10 PRIVACY ISSUES WORKING GROUP No. 1-10     RE: ICI CONFERENCE CALL ON IRS TIN...

    [24133]   February 12, 2010 TO: BROKER/DEALER ADVISORY COMMITTEE No. 6-10 BANK, TRUST AND RECORDKEEPER ADVISORY COMMITTEE No. 5-10 OPERATIONS MEMBERS No. 1-10 SMALL FUNDS MEMBERS No. 11-10 TAX MEMBERS No. 4-10 TRANSFER AGENT ADVISORY COMMITTEE No. 9-10     RE: INSTITUTE COMMENT...

    [24127]   February 3, 2010 TO: PENSION MEMBERS No. 5-10 TRANSFER AGENT ADVISORY COMMITTEE No. 8-10     RE: INSTITUTE LETTER TO OHIO ON DIRECT DEPOSIT OF TAX REFUNDS   The Institute sent the attached letter to the Ohio State Senate regarding S.B. 194, [1] which would instruct the...

    [24119]   February 2, 2010 TO: TRANSFER AGENT ADVISORY COMMITTEE No. 7-10     RE: FINRA ISSUES GUIDANCE REGARDING USE OF SOCIAL NETWORKING WEBSITES   The Financial Industry Regulatory Authority recently issued guidance to member firms regarding the use of social networking...

[24114]   February 1, 2010 TO: TRANSFER AGENT ADVISORY COMMITTEE No. 6-10     RE: UPDATED HOLDER REPORTING INSTRUCTION AND EMAIL ADDRESS FOR DELAWARE   Here is some information from the state of Delaware on recent changes to its holder reporting instructions and the email address to...

    [24111]   January 29, 2010 TO: BROKER/DEALER ADVISORY COMMITTEE No. 5-10 BANK, TRUST AND RECORDKEEPER ADVISORY COMMITTEE No. 3-10 OPERATIONS COMMITTEE No. 3-10 SMALL FUNDS COMMITTEE No. 2-10 TAX COMMITTEE No. 2-10 TRANSFER AGENT ADVISORY COMMITTEE No. 4-10     RE: DRAFT INSTITUTE...

[24113]   January 29, 2010 TO: TRANSFER AGENT ADVISORY COMMITTEE No. 5-10     RE: TRANSFER AGENT ADVISORY COMMITTEE MEETING NOTICE - FEBRUARY 10-11, 2010   The next meeting of the Transfer Agent Advisory Committee will be held on Wednesday, February 10 from 3:00 p.m. to 5:00 p.m. ET...

    [24102]   January 27, 2010 TO: AML COMPLIANCE WORKING GROUP No. 2-10 TRANSFER AGENT ADVISORY COMMITTEE No. 3-10     RE: FINCEN RULING RE: CUSTOMER IDENTIFICATION PROGRAM RULE - ADDRESS CONFIDENTIALITY PROGRAMS   The Financial Crimes Enforcement Network (“FinCEN”) recently made...

    [24097]   January 25, 2010 TO: TRANSFER AGENT ADVISORY COMMITTEE No. 2-10 BROKER/DEALER ADVISORY COMMITTEE No. 3-10 CHIEF COMPLIANCE OFFICER COMMITTEE No. 2-10 COMPLIANCE ADVISORY COMMITTEE No. 2-10 SEC RULES COMMITTEE No. 4-10     RE: DRAFT ICI LETTER SUPPORTING GREATER...

    [24073]   January 12, 2010 TO: AML COMPLIANCE WORKING GROUP No. 1-10 OFAC ALERT MEMBERS No. 2-10 TRANSFER AGENT ADVISORY COMMITTEE No. 1-10 BROKER/DEALER ADVISORY COMMITTEE No. 2-10     RE: CONFIRMATION OF OFAC PROGRAM LETTER FOR CLEARING AGENCIES - DUE MARCH 31, 2010   On...