Transfer Agent Advisory Content

    [23521]   June 11, 2009 TO: TRANSFER AGENT ADVISORY COMMITTEE No. 43-09 BROKER/DEALER ADVISORY COMMITTEE No. 28-09 COMPLIANCE MEMBERS No. 30-09     RE: ICI COMMENTS ON FINRA PROPOSAL TO REQUIRE MEMBERS TO SEND ACCOUNT STATEMENTS MONTHLY RATHER THAN QUARTERLY   As we previously...

    [23532]   June 11, 2009 TO: TRANSFER AGENT ADVISORY COMMITTEE No. 44-09     RE: INTERNATIONAL ACH TRANSACTION RULES - EFFECTIVE SEPTEMBER 18, 2009   On September 18, 2009 an amendment to the NACHA Operating Rules will become effective that will require all payments funded...

    [23516]   June 9, 2009 TO: AML COMPLIANCE WORKING GROUP No. 5-09 TRANSFER AGENT ADVISORY COMMITTEE No. 41-09     RE: ICI COMMENT LETTER ON FINCEN’S PROPOSED RULES AND GUIDANCE ON SUSPICIOUS ACTIVITY REPORTING   On March 3, 2009, the U.S. Treasury Department’s Financial Crimes...

    [23518]   June 9, 2009 TO: AML COMPLIANCE WORKING GROUP No. 6-09 TRANSFER AGENT ADVISORY COMMITTEE No. 42-09     RE: FINCEN PROPOSAL TO REPLACE FORM 8300 REQUIREMENT WITH CURRENCY TRANSACTION REPORT REQUIREMENT AND CONFERENCE CALL TO DICUSS PROPOSAL   On June 5, 2009, the...

    [23507]   June 3, 2009 TO: AML COMPLIANCE WORKING GROUP No. 4-09 TRANSFER AGENT ADVISORY COMMITTEE No. 40-09     RE: REVISED DRAFT ICI COMMENT LETTER ON FINCEN'S PROPOSED RULES AND GUIDANCE ON SUSPICIOUS ACTIVITY REPORTS   Attached is a revised draft ICI comment letter on the...

[23491]   May 28, 2009 TO: 529 PLAN MEMBERS No. 1-09 ACCOUNTING/TREASURERS MEMBERS No. 23-09 INTERNATIONAL MEMBERS No. 11-09 TAX MEMBERS No. 11-09 TRANSFER AGENT ADVISORY COMMITTEE No. 39-09     RE: INSTITUTE’S TAX RECOMMENDATIONS FOR 2009-2010 TREASURY/IRS GUIDANCE PRIORITY LIST  ...

    [23489]   May 27, 2009 TO: TRANSFER AGENT ADVISORY COMMITTEE No. 38-09     RE: TRANSFER AGENT ADVISORY COMMITTEE MEETING NOTICE - JULY 21-22, 2009   The next meeting of the Transfer Agent Advisory Committee will be held on Tuesday, July 21st from 3:00 p.m. to 5:00 p.m. ET and...

    [23484]   May 26, 2009 TO: AML COMPLIANCE WORKING GROUP No. 3-09 TRANSFER AGENT ADVISORY COMMITTEE No. 37-09     RE: DRAFT ICI COMMENT LETTER ON FINCEN’S PROPOSED RULES AND GUIDANCE ON SUSPICIOUS ACTIVITY REPORTS   On March 3, 2009, the U.S. Treasury Department’s Financial Crimes...

    [23476]   May 21, 2009 TO: TRANSFER AGENT ADVISORY COMMITTEE No. 36-09 BROKER/DEALER ADVISORY COMMITTEE No. 25-09 COMPLIANCE MEMBERS No. 26-09     RE: FINRA PROPOSES REVISIONS TO THE NASD'S SUITABILITY AND "KNOW YOUR CUSTOMER" RULES   As part of its process to consolidate the NASD...

    [23469]   May 20, 2009 TO: TRANSFER AGENT ADVISORY COMMITTEE No. 35-09 BROKER/DEALER ADVISORY COMMITTEE No. 24-09 COMPLIANCE MEMBERS No. 25-09     RE: FINRA PROPOSES RULE REVISIONS TO REQUIRE MEMBERS TO SEND CUSTOMER ACCOUNT STATEMENTS MONTHLY INSTEAD OF QUARTERLY   FINRA recently...