Transfer Agent Advisory Content

    [23313]   March 12, 2009 TO: TRANSFER AGENT ADVISORY COMMITTEE No. 23-09     RE: FINCEN ISSUES PROPOSED RULES AND GUIDANCE ON SUSPICIOUS ACTIVITY REPORTS   On March 3, 2009, the U.S. Treasury Department’s Financial Crimes Enforcement Network (“FinCEN”) issued for comment proposed...

[23302]   March 5, 2009 TO: BANK, TRUST AND RECORDKEEPER ADVISORY COMMITTEE No. 12-09 BROKER/DEALER ADVISORY COMMITTEE No. 15-09 OPERATIONS COMMITTEE No. 5-09 SMALL FUNDS COMMITTEE No. 3-09 TAX MEMBERS No. 7-09 TRANSFER AGENT ADVISORY COMMITTEE No. 22-09 RE: ICI AND SIFMA LETTER...

[23271]   February 24, 2009 TO: BANK, TRUST AND RECORDKEEPER ADVISORY COMMITTEE No. 10-09 BROKER/DEALER ADVISORY COMMITTEE No. 12-09 COMPLIANCE MEMBERS No. 12-09 OPERATIONS MEMBERS No. 7-09 PENSION MEMBERS No. 11-09 SEC RULES MEMBERS No. 21-09 TRANSFER AGENT ADVISORY COMMITTEE No. 21...

    [23269]   February 23, 2009 TO: BANK, TRUST AND RECORDKEEPER ADVISORY COMMITTEE No. 9-09 BROKER/DEALER ADVISORY COMMITTEE No. 11-09 COMPLIANCE MEMBERS No. 11-09 OPERATIONS MEMBERS No. 6-09 PRIMARY CONTACTS - MEMBER COMPLEX No. 3-09 PRIVACY ISSUES WORKING GROUP No. 2-09 SEC RULES...

    [23265]   February 20, 2009 TO: BANK, TRUST AND RECORDKEEPER ADVISORY COMMITTEE No. 6-09 BROKER/DEALER ADVISORY COMMITTEE No. 8-09 CHIEF COMPLIANCE OFFICER COMMITTEE No. 4-09 COMPLIANCE ADVISORY COMMITTEE No. 1-09 SEC RULES COMMITTEE No. 7-09 TRANSFER AGENT ADVISORY COMMITTEE No...

    [23268]   February 20, 2009 TO: BANK, TRUST AND RECORDKEEPER ADVISORY COMMITTEE No. 8-09 BROKER/DEALER ADVISORY COMMITTEE No. 10-09 CHIEF COMPLIANCE OFFICER COMMITTEE No. 5-09 COMPLIANCE ADVISORY COMMITTEE No. 2-09 OPERATIONS COMMITTEE No. 3-09 SEC RULES COMMITTEE No. 8-09...

[23267]   February 20, 2009 TO: BANK, TRUST AND RECORDKEEPER ADVISORY COMMITTEE No. 7-09 BROKER/DEALER ADVISORY COMMITTEE No. 9-09 COMPLIANCE MEMBERS No. 10-09 OPERATIONS MEMBERS No. 5-09 SEC RULES MEMBERS No. 19-09 TRANSFER AGENT ADVISORY COMMITTEE No. 18-09 RE: RECEIVER FOR STANFORD...

  [23263]   February 19, 2009 TO: TAX COMMITTEE No. 6-09 TRANSFER AGENT ADVISORY COMMITTEE No. 16-09     RE: ICI DRAFT LETTER REGARDING LOGOS ON SUBSTITUTE FORMS 1099; COMMENTS REQUESTED   Attached for your review is a draft joint letter from the Institute and the Securities Industry...

    [23259]   February 18, 2009 TO: TRANSFER AGENT ADVISORY COMMITTEE No. 14-09     RE: TRANSFER AGENT ADVISORY COMMITTEE MEETING NOTICE - APRIL 21-22, 2009   The next meeting of the Transfer Agent Advisory Committee will be held on Tuesday, April 21st from 3:00 p.m. to 5:00 p.m. ET...

    [23261]   February 18, 2009 TO: TRANSFER AGENT ADVISORY COMMITTEE No. 15-09     RE: IRS SEEKS COMMENTS REGARDING GUIDANCE ON COST BASIS REPORTING   The Internal Revenue Service (“IRS”) has issued the attached Notice 2009-17 requesting comments on issues that should be addressed in...