Transfer Agent Advisory Content

    [23834]   October 1, 2009 TO: OPERATIONS COMMITTEE No. 20-09 BANK, TRUST AND RECORDKEEPER ADVISORY COMMITTEE No. 46-09 BROKER/DEALER ADVISORY COMMITTEE No. 55-09 TRANSFER AGENT ADVISORY COMMITTEE No. 74-09 SALES FORCE MARKETING COMMITTEE No. 10-09 INTERNAL SALES MANAGERS...

    [23825]   September 30, 2009 TO: TRANSFER AGENT ADVISORY COMMITTEE No. 73-09     RE: PRELIMINARY AGENDA FOR TAAC MEETING - OCTOBER 14-15, 2009   The next meeting of the Transfer Agent Advisory Committee will be held on Wednesday, October 14 from 3:00 p.m. to 5:00 p.m. ET and...

    [23820]   September 29, 2009 TO: OPERATIONS COMMITTEE No. 19-09 BROKER/DEALER ADVISORY COMMITTEE No. 53-09 TRANSFER AGENT ADVISORY COMMITTEE No. 72-09 BANK, TRUST AND RECORDKEEPER ADVISORY COMMITTEE No. 44-09 ACCOUNTING/TREASURERS COMMITTEE No. 18-09     RE: FINRA PROPOSES TO...

    [23819]   September 29, 2009 TO: TRANSFER AGENT ADVISORY COMMITTEE No. 71-09     RE: IRS GUIDANCE ON ROLLOVERS TO ROTH IRAS   The IRS released Notice 2009-75 [1] which provides guidance on rollovers from qualified plans to Roth IRAs, supplementing earlier guidance in Notice 2008...

    [23818]   September 28, 2009 TO: PENSION MEMBERS No. 46-09 TRANSFER AGENT ADVISORY COMMITTEE No. 70-09 BANK, TRUST AND RECORDKEEPER ADVISORY COMMITTEE No. 43-09     RE: IRS ISSUES GUIDANCE ON 2009 REQUIRED MINIMUM DISTRIBUTIONS   IRS Notice 2009-82, issued on September 24, 2009...

    [23770]   September 9, 2009 TO: BANK, TRUST AND RECORDKEEPER ADVISORY COMMITTEE No. 39-09 TRANSFER AGENT ADVISORY COMMITTEE No. 67-09     RE: ICI REQUESTS A FIVE-MONTH EXTENSION OF THE COMPLIANCE DATE FOR REGULATION S-AM   As you may recall, last month the SEC adopted Regulation S...

    [23769]   September 9, 2009 TO: ACCOUNTING/TREASURERS COMMITTEE No. 14-09 BANK, TRUST AND RECORDKEEPER ADVISORY COMMITTEE No. 40-09 BROKER/DEALER ADVISORY COMMITTEE No. 50-09 MONEY MARKET FUNDS ADVISORY COMMITTEE No. 35-09 MUNICIPAL SECURITIES ADVISORY COMMITTEE No. 40-09...

    [23772]   September 9, 2009 TO: PENSION MEMBERS No. 41-09 SEC RULES MEMBERS No. 95-09 BANK, TRUST AND RECORDKEEPER ADVISORY COMMITTEE No. 41-09 TRANSFER AGENT ADVISORY COMMITTEE No. 69-09 SMALL FUNDS COMMITTEE No. 17-09 BROKER/DEALER ADVISORY COMMITTEE No. 51-09     RE: DOL...

    [23763]   September 4, 2009 TO: AML COMPLIANCE WORKING GROUP No. 8-09 TRANSFER AGENT ADVISORY COMMITTEE No. 66-09     RE: ICI COMMENT LETTER TO FINCEN ON THE PROPOSAL TO DEFINE MUTUAL FUNDS AS FINANCIAL INSTITUTIONS, SUBJECTING MUTUAL FUNDS TO CTR FILINGS AND THE TRAVEL RULE   As...

    [23745]   August 31, 2009 TO: PENSION MEMBERS No. 40-09 TAX MEMBERS No. 20-09 OPERATIONS MEMBERS No. 19-09 TRANSFER AGENT ADVISORY COMMITTEE No. 65-09 PRIVACY ISSUES WORKING GROUP No. 11-09     RE: INSTITUTE RENEWS REQUEST REGARDING TIN-MASKING ON TAX FORMS   The Institute...