Transfer Agent Advisory Content

    [23701]   August 11, 2009 TO: TRANSFER AGENT ADVISORY COMMITTEE No. 55-09     RE: FTC ANNOUNCES DELAY OF RED FLAGS RULE ENFORCEMENT AND PROVIDES ANSWERS TO FREQUENTLY ASKED QUESTIONS RELATING TO RETIREMENT PLANS   The Federal Trade Commission (FTC) has announced an additional...

    [23689]   August 10, 2009 TO: BANK, TRUST AND RECORDKEEPER ADVISORY COMMITTEE No. 31-09 TRANSFER AGENT ADVISORY COMMITTEE No. 53-09     RE: SEC ADOPTS REG. S-AM THAT RESTRICTS SHARING INFORMATION WITH AFFILIATES FOR MARKETING TO CONSUMERS; COMPLIANCE DATE IS JAN. 1ST   Four years...

    [23674]   August 3, 2009 TO: OPERATIONS MEMBERS No. 15-09 BANK, TRUST AND RECORDKEEPER ADVISORY COMMITTEE No. 30-09 BROKER/DEALER ADVISORY COMMITTEE No. 42-09 INTERNATIONAL OPERATIONS ADVISORY COMMITTEE No. 12-09 TECHNOLOGY COMMITTEE No. 15-09 TRANSFER AGENT ADVISORY COMMITTEE No...

    [23654]   July 27, 2009 TO: TAX COMMITTEE No. 19-09 TRANSFER AGENT ADVISORY COMMITTEE No. 51-09 BANK, TRUST AND RECORDKEEPER ADVISORY COMMITTEE No. 29-09 BROKER/DEALER ADVISORY COMMITTEE No. 41-09     RE: DRAFT 2009 YEAR-END REPORTING LAYOUTS AND TARGET DELIVERY DATE   Attached...

    [23610]   July 8, 2009 TO: PRIVACY ISSUES WORKING GROUP No. 7-09 OPERATIONS MEMBERS No. 14-09 TRANSFER AGENT ADVISORY COMMITTEE No. 49-09     RE: FINRA INFORMS MEMBERS ABOUT A NEW FTC RED FLAG RULE TEMPLATE   FINRA has published an Information Notice to notify its members of a new...

    [23611]   July 8, 2009 TO: TRANSFER AGENT ADVISORY COMMITTEE No. 50-09     RE: PRELIMINARY AGENDA FOR TAAC MEETING - JULY 21-22, 2009   The next meeting of the Transfer Agent Advisory Committee will be held on Tuesday, July 21 from 3:00 p.m. to 5:00 p.m. ET and Wednesday, July 22...

[23604]   July 2, 2009 TO: ACCOUNTING/TREASURERS MEMBERS No. 30-09 BANK, TRUST AND RECORDKEEPER ADVISORY COMMITTEE No. 27-09 BOARD OF GOVERNORS No. 6-09 BROKER/DEALER ADVISORY COMMITTEE No. 38-09 INVESTMENT COMPANY DIRECTORS No. 18-09 MONEY MARKET FUNDS ADVISORY COMMITTEE No. 25-09...

    [23591]   June 29, 2009 TO: TRANSFER AGENT ADVISORY COMMITTEE No. 47-09 BROKER/DEALER ADVISORY COMMITTEE No. 36-09 COMPLIANCE MEMBERS No. 33-09     RE: INSTITUTE FILES COMMENT LETTER ON FINRA'S PROPOSED REVISIONS TO THE NASD'S SUITABILITY AND "KNOW YOUR CUSTOMER" RULES   As we...

    [23574]   June 22, 2009 TO: BANK, TRUST AND RECORDKEEPER ADVISORY COMMITTEE No. 26-09 BROKER/DEALER ADVISORY COMMITTEE No. 34-09 OPERATIONS COMMITTEE No. 12-09 TRANSFER AGENT ADVISORY COMMITTEE No. 46-09     RE: ADMINISTRATION PLAN FOR FINANCIAL SERVICES REGULATORY REFORM   On...

    [23547]   June 15, 2009 TO: BROKER/DEALER ADVISORY COMMITTEE No. 30-09 OPERATIONS COMMITTEE No. 9-09 TRANSFER AGENT ADVISORY COMMITTEE No. 45-09     RE: NEW MUTUAL FUND QUOTATION SERVICE DEADLINE - 8:00 P.M.   Effective November 16, 2009, the deadline for transmission of daily...