Transfer Agent Advisory Content

[30388] November 8, 2016 TO: Broker/Dealer Advisory Committee Principal Underwriters Working Group Transfer Agent Advisory Committee RE: SEC Publishes for Comment FINRA's Proposed Rule to Address Senior Exploitation; Comments Requested by November 18 Background As you may recall, in...

[30371] November 1, 2016 TO: Bank, Trust and Retirement Advisory Committee Broker/Dealer Advisory Committee CCO Advisory Issues Subcommittee Chief Compliance Officer Committee Operations Commitee Pension Operations Advisory Committee Principal Underwriters Working Group Small Funds...

[30366] October 28, 2016 TO: PENSION MEMBERS No. 38-16OPERATIONS MEMBERS No. 37-16TRANSFER AGENT ADVISORY COMMITTEE No. 58-16 RE: DOL PROVIDES RELIEF FOR EMPLOYEE BENEFIT PLANS AND PLAN PARTICIPANTS AFFECTED BY HURRICANE MATTHEW In a news release issued on October 27, 2016, the...

[30361] October 28, 2016 TO: PENSION MEMBERS No. 37-16OPERATIONS MEMBERS No. 36-16SEC RULES COMMITTEE No. 48-16SMALL FUNDS COMMITTEE No. 30-16SALES AND MARKETING COMMITTEE No. 14-16TRANSFER AGENT ADVISORY COMMITTEE No. 57-16BANK, TRUST AND RETIREMENT ADVISORY COMMITTEE No. 44-16BROKER...

[30355] October 27, 2016 TO: PENSION MEMBERS No. 35-16OPERATIONS MEMBERS No. 35-16TRANSFER AGENT ADVISORY COMMITTEE No. 56-16 RE: IRS PROVIDES RELIEF FOR PLAN LOANS AND HARDSHIP DISTRBUTIONS AND EXTENDS CERTAIN DEADLINES FOR TAXPAYERS AFFECTED BY HURRICANE MATTHEW On October 21, 2016...

[30345] October 26, 2016 TO: BANK, TRUST AND RETIREMENT ADVISORY COMMITTEE No. 43-16BROKER/DEALER ADVISORY COMMITTEE No. 40-16COMPLIANCE MEMBERS No. 37-16OPERATIONS COMMITTEE No. 26-16PENSION OPERATIONS ADVISORY COMMITTEE No. 7-16PRINCIPAL UNDERWRITERS WORKING GROUP SMALL FUNDS...

[30338] October 24, 2016 TO: ACCOUNTING/TREASURERS COMMITTEE No. 20-16DERIVATIVES MARKETS ADVISORY COMMITTEE No. 64-16ETF (EXCHANGE-TRADED FUNDS) COMMITTEE No. 30-16ETF ADVISORY COMMITTEE No. 29-16EQUITY MARKETS ADVISORY COMMITTEE No. 47-16FIXED-INCOME ADVISORY COMMITTEE No. 42...

[30334] October 21, 2016 TO: ACCOUNTING/TREASURERS MEMBERS No. 33-16BANK, TRUST AND RETIREMENT ADVISORY COMMITTEE No. 41-16BROKER/DEALER ADVISORY COMMITTEE No. 38-16CHIEF RISK OFFICER COMMITTEE No. 33-16CLOSED-END INVESTMENT COMPANY MEMBERS No. 23-16COMPLIANCE MEMBERS No. 34...

The SEC adopted rule amendments last week that permit, but do not require, mutual funds to use swing pricing. On the same day, the SEC adopted new enhanced fund reporting and liquidity requirements.