Transfer Agent Advisory Content

    [23970]   November 23, 2009 TO: TRANSFER AGENT ADVISORY COMMITTEE No. 86-09     RE: FINCEN PROPOSES RULE TO EXPAND SPECIAL INFORMATION SHARING PROCEDURES TO DETER MONEY LAUNDERING AND TERRORIST ACTIVITY   The Department of the Treasury’s Financial Crimes Enforcement Network (...

    [23968]   November 20, 2009 TO: SEC RULES MEMBERS No. 124-09 SMALL FUNDS MEMBERS No. 69-09 COMPLIANCE MEMBERS No. 50-09 CLOSED-END INVESTMENT COMPANY MEMBERS No. 54-09 INVESTMENT ADVISER MEMBERS No. 23-09 UNIT INVESTMENT TRUST MEMBERS No. 9-09 TRANSFER AGENT ADVISORY COMMITTEE No...

    [23952]   November 12, 2009 TO: TRANSFER AGENT ADVISORY COMMITTEE No. 83-09     RE: DOL GUIDANCE ON BROKER’S REQUEST FOR GRANT OF SECURITY INTEREST IN NON-IRA ACCOUNTS AS CONDITION FOR OPENING IRA ACCOUNT   The Department of Labor released Advisory Opinion 2009-03A, [1] which...

    [23947]   November 10, 2009 TO: TRANSFER AGENT ADVISORY COMMITTEE No. 82-09     RE: SEC GRANTS FIVE MONTH DELAY OF THE COMPLIANCE DATE FOR REGULATION S-AM; NEW COMPLIANCE DATE IS JUNE 1, 2010   As you may recall, in August the SEC adopted Regulation S-AM with a compliance date of...

    [23920]   November 2, 2009 TO: BANK, TRUST AND RECORDKEEPER ADVISORY COMMITTEE No. 50-09 BROKER/DEALER ADVISORY COMMITTEE No. 59-09 COMPLIANCE MEMBERS No. 46-09 OPERATIONS MEMBERS No. 23-09 PRIMARY CONTACTS - MEMBER COMPLEX No. 14-09 PRIVACY ISSUES WORKING GROUP No. 14-09 SEC...

  FINAL NOTICE - ACTION REQUESTED [23913]   October 28, 2009 TO: PRIMARY CONTACTS - MEMBER COMPLEX No. 13-09 ACCOUNTING/TREASURERS MEMBERS No. 46-09 OPERATIONS MEMBERS No. 22-09 SMALL FUNDS MEMBERS No. 60-09 TRANSFER AGENT ADVISORY COMMITTEE No. 80-09 PAST PARTICIPANTS -- ICI/PWC...

    [23901]   October 27, 2009 TO: PENSION MEMBERS No. 51-09 BROKER/DEALER ADVISORY COMMITTEE No. 58-09 BANK, TRUST AND RECORDKEEPER ADVISORY COMMITTEE No. 49-09 OPERATIONS COMMITTEE No. 22-09 TRANSFER AGENT ADVISORY COMMITTEE No. 79-09 SEC RULES COMMITTEE No. 63-09     RE: DOL...

    [23866]   October 9, 2009 TO: OPERATIONS COMMITTEE No. 21-09 BROKER/DEALER ADVISORY COMMITTEE No. 57-09 TRANSFER AGENT ADVISORY COMMITTEE No. 77-09 BANK, TRUST AND RECORDKEEPER ADVISORY COMMITTEE No. 48-09 ACCOUNTING/TREASURERS COMMITTEE No. 21-09     RE: ICI FILES COMMENT LETTER...

    [23861]   October 8, 2009 TO: PENSION COMMITTEE No. 21-09 PENSION OPERATIONS ADVISORY COMMITTEE No. 22-09 TRANSFER AGENT ADVISORY COMMITTEE No. 76-09 BANK, TRUST AND RECORDKEEPER ADVISORY COMMITTEE No. 47-09     RE: CONFERENCE CALL TO DISCUSS NEW RMD GUIDANCE; OCTOBER 14TH, 3 PM...

    [23853]   October 7, 2009 TO: PRIMARY CONTACTS - MEMBER COMPLEX No. 12-09 ACCOUNTING/TREASURERS MEMBERS No. 40-09 OPERATIONS MEMBERS No. 21-09 SMALL FUNDS MEMBERS No. 56-09 TRANSFER AGENT ADVISORY COMMITTEE No. 75-09 PAST PARTICIPANTS -- ICI/PWC TRANSFER AGENT FEE SURVEY     RE...