Transfer Agent Advisory Content

[30502] January 4, 2017 TO: ICI Members Operations Committee Small Funds Committee Transfer Agent Advisory Committee SUBJECTS: Compliance RE: Medallion Signature Guarantee Considerations and Alternatives White Paper We are pleased to announce the publication of a new white paper...

[30448] December 5, 2016 TO: Investment Company Directors SUBJECTS: Fund Governance Settlement Trading and Markets RE: IDC Files Comment Letter Supporting Move to T+2 Settlement Cycle IDC filed the attached comment letter with the SEC strongly supporting its proposal to shorten the...

Today the ICI filed the attached comment letter to the Securities and Exchange Commission (“SEC”) in response to its proposed rule to amend the securities settlement cycle.

[30436] November 30, 2016 TO: Bank, Trust and Retirement Advisory Committee Broker/Dealer Advisory Committee Chief Compliance Officer Committee Chief Risk Officer Committee Compliance Advisory Committee Internal Audit Advisory Committee Operations CommitteeSecurities Operations...

[30438] November 30, 2016 TO: Transfer Agent Advisory Committee RE: Registration Now Open: February 1-2, 2017 Transfer Agent Advisory Committee Meeting The next meeting of the Transfer Agent Advisory Committee will be held on Wednesday, February 1 from 1:00 p.m. to 5:00 p.m. ET and on...

[30424] November 25, 2016 TO: Broker/Dealer Advisory Committee Principal Underwriters Working Group Transfer Agent Advisory Committee RE: ICI Files Comment Letter with SEC Supporting FINRA Rules to Protect Senior Investors As we previously informed you, in October FINRA filed with the...

[30412] November 22, 2016 TO: ICI Members SUBJECTS: Operations Pension Transfer Agency RE: ICI Submits Comment Letter on PBGC Proposed Rule for Missing Participant Program The Institute submitted the attached letter to the Pension Benefit Guaranty Corporation (PBGC) responding to its...

[30392] November 15, 2016 TO: 529 Plan Advisory Committee Tax Comnmittee Transfer Agent Advisory Committee RE: Draft Letter to IRS Requesting Guidance on Recontributions to 529 Plans and Application of One-Rollover-Per-Year Rule for 529 Plans Attached for your review is a draft letter...