Transfer Agent Advisory Content

    [23743]   August 31, 2009 TO: TRANSFER AGENT ADVISORY COMMITTEE No. 64-09     RE: ACTION ITEM RECAP - TAAC MEETING JULY 21-22, 2009   The following action items were discussed during the Transfer Agent Advisory Committee meeting held on July 21-22, 2009 in Washington, D.C. ToRA...

    [23731] August 20, 2009 TO: TRANSFER AGENT ADVISORY COMMITTEE No. 63-09 BANK, TRUST AND RECORDKEEPER ADVISORY COMMITTEE No. 36-09     RE: MODULE USED BY THE FEDERAL RESERVE TO EXAMINE FOR COMPLIANCE WITH ITS AFFILIATE MARKETING REGULATION   As we recently informed you, on August...

    [23726]   August 18, 2009 TO: TRANSFER AGENT ADVISORY COMMITTEE No. 62-09     RE: CALIFORNIA COURT HOLDS ESCHEATMENT IMMUNITY IS ONLY AVAILABLE TO HOLDERS OF ABANDONED PROPERTY THAT COMPLY WITH THE LAW   California’s Supreme Court has issued an opinion on the scope of the immunity...

    [23718]   August 17, 2009 TO: TRANSFER AGENT ADVISORY COMMITTEE No. 59-09     RE: TRANSFER AGENT ADVISORY COMMITTEE MEETING NOTICE - 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...

  ACTION REQUESTED [23722]   August 17, 2009 TO: PRIMARY CONTACTS - MEMBER COMPLEX No. 11-09 ACCOUNTING/TREASURERS MEMBERS No. 36-09 OPERATIONS MEMBERS No. 18-09 SMALL FUNDS MEMBERS No. 50-09 TRANSFER AGENT ADVISORY COMMITTEE No. 61-09 PAST PARTICIPANTS -- ICI/PWC TRANSFER AGENT FEE...

    [23720]   August 17, 2009 TO: BANK, TRUST AND RECORDKEEPER ADVISORY COMMITTEE No. 35-09 BROKER/DEALER ADVISORY COMMITTEE No. 47-09 COMPLIANCE MEMBERS No. 38-09 OPERATIONS MEMBERS No. 17-09 PRIMARY CONTACTS - MEMBER COMPLEX No. 10-09 PRIVACY ISSUES WORKING GROUP No. 9-09 SEC RULES...

    [23712] August 14, 2009   TO: ACCOUNTING/TREASURERS COMMITTEE No. 13-09 BANK, TRUST AND RECORDKEEPER ADVISORY COMMITTEE No. 33-09 BROKER/DEALER ADVISORY COMMITTEE No. 46-09 OPERATIONS COMMITTEE No. 15-09 SMALL FUNDS COMMITTEE No. 15-09 TRANSFER AGENT ADVISORY COMMITTEE No. 58-09  ...

[23706]   August 14, 2009 TO: TAX COMMITTEE No. 21-09 TRANSFER AGENT ADVISORY COMMITTEE No. 57-09 BANK, TRUST AND RECORDKEEPER ADVISORY COMMITTEE No. 32-09 BROKER/DEALER ADVISORY COMMITTEE No. 45-09 OPERATIONS COMMITTEE No. 14-09 ACCOUNTING/TREASURERS COMMITTEE No. 12-09 CLOSED-END...

    [23703]   August 12, 2009 TO: TRANSFER AGENT ADVISORY COMMITTEE No. 56-09     RE: MARK YOUR CALENDAR - 2010 TAAC MEETING SCHEDULE & 2009 OCTOBER MEETING   Please mark your calendar for the following Transfer Agent Advisory Committee meetings scheduled in 2010: February 10-11 May 4...

    [23698]   August 11, 2009 TO: AML COMPLIANCE WORKING GROUP No. 7-09 TRANSFER AGENT ADVISORY COMMITTEE No. 54-09     RE: DRAFT COMMENT LETTER TO FINCEN ON PROPOSAL TO DEFINE MUTUAL FUNDS AS FINANCIAL INSTITUTIONS, THEREBY SUBJECTING MUTUAL FUNDS TO CTR FILINGS AND THE TRAVEL RULE  ...