Transfer Agent Advisory Content

[16576] September 25, 2003 TO: TRANSFER AGENT ADVISORY COMMITTEE No. 89-03 RE: PRELIMINARY AGENDA FOR OCTOBER 8-9, 2003 TAAC MEETING The next meeting of the Transfer Agent Advisory Committee will be held on Wednesday, October 8th from 3:00 to 5:00 p.m. ET and Thursday, October 9th...

[16573] September 24, 2003 TO: 529 PLAN ADVISORY COMMITTEE No. 54-03 OPERATIONS COMMITTEE No. 19-03 PENSION COMMITTEE No. 35-03 PENSION OPERATIONS ADVISORY COMMITTEE No. 60-03 TAX COMMITTEE No. 60-03 TRANSFER AGENT ADVISORY COMMITTEE No. 88-03 RE: DRAFT COMMENT LETTER RESPONDING TO...

URGENT/ACTION REQUESTED [16572] September 24, 2003 TO: COMPLIANCE ADVISORY COMMITTEE No. 77-03 INTERNATIONAL COMMITTEE No. 64-03 INTERNATIONAL OPERATIONS ADVISORY COMMITTEE No. 38-03 MONEY LAUNDERING RULES WORKING GROUP No. 55-03 PRIMARY CONTACTS - MEMBER COMPLEX No. 77-03 TRANSFER...

[16517] September 10, 2003 TO: OPERATIONS COMMITTEE No. 18-03 TRANSFER AGENT ADVISORY COMMITTEE No. 85-03 BROKER/DEALER ADVISORY COMMITTEE No. 29-03 BANK AND TRUST ADVISORY COMMITTEE No. 11-03 RE: MEMBER REVIEW OF HANDLING OF MUTUAL FUND ORDERS AND MARKET TIMING POLICIES In view of...

[16518] September 10, 2003 TO: TRANSFER AGENT ADVISORY COMMITTEE No. 86-03 RE: CASH OPERATIONS PROCESSING SURVEY RESULTS The Transfer Agent Advisory Committee established a task force, chaired by Terri Luensmann of USAA, who developed the enclosed Cash Operations Processing Survey...

[16515] September 9, 2003 TO: 529 PLAN ADVISORY COMMITTEE No. 50-03 OPERATIONS COMMITTEE No. 17-03 PENSION COMMITTEE No. 33-03 PENSION OPERATIONS ADVISORY COMMITTEE No. 57-03 TAX COMMITTEE No. 57-03 TRANSFER AGENT ADVISORY COMMITTEE No. 84-03 RE: DISCUSSION OUTLINE FOR WEDNESDAY...

[16506] September 5, 2003 TO: TRANSFER AGENT ADVISORY COMMITTEE No. 83-03 RE: MEETING NOTICE TAAC - OCTOBER 8-9, 2003 The next meeting of the Transfer Agent Advisory Committee will be held on Wednesday and Thursday, October 8th and 9th, 2003 in the David Silver Conference Room (12th...

URGENT/ACTION REQUESTED [16500] September 5, 2003 TO: COMPLIANCE ADVISORY COMMITTEE No. 71-03 INTERNATIONAL COMMITTEE No. 58-03 INTERNATIONAL OPERATIONS ADVISORY COMMITTEE No. 37-03 MONEY LAUNDERING RULES WORKING GROUP No. 54-03 PRIMARY CONTACTS - MEMBER COMPLEX No. 74-03 TRANSFER...

[16475] August 27, 2003 TO: BROKER/DEALER ADVISORY COMMITTEE No. 28-03 COMPLIANCE ADVISORY COMMITTEE No. 66-03 SEC RULES MEMBERS No. 112-03 TRANSFER AGENT ADVISORY COMMITTEE No. 81-03 RE: NASD DIRECTS MEMBERS TO MAKE APPROPRIATE REFUNDS TO CUSTOMERS WHO DID NOT RECEIVE BREAKPOINTS FOR...

[16472] August 26, 2003 TO: COMPLIANCE ADVISORY COMMITTEE No. 64-03 MONEY LAUNDERING RULES WORKING GROUP No. 53-03 SEC RULES COMMITTEE No. 69-03 TRANSFER AGENT ADVISORY COMMITTEE No. 80-03 RE: CUSTOMER VERIFICATION AND THE FAIR CREDIT REPORTING ACT As you know, the customer...