Transfer Agent Advisory Content

[30331] October 21, 2016 TO: ACCOUNTING/TREASURERS MEMBERS No. 32-16BANK, TRUST AND RETIREMENT ADVISORY COMMITTEE No. 40-16BROKER/DEALER ADVISORY COMMITTEE No. 37-16CHIEF RISK OFFICER COMMITTEE No. 32-16CLOSED-END INVESTMENT COMPANY MEMBERS No. 22-16COMPLIANCE MEMBERS No. 33...

[30316] October 14, 2016 TO: ACCOUNTING/TREASURERS MEMBERS No. 30-16BANK, TRUST AND RETIREMENT ADVISORY COMMITTEE No. 38-16BROKER/DEALER ADVISORY COMMITTEE No. 35-16CHIEF RISK OFFICER COMMITTEE No. 30-16CLOSED-END INVESTMENT COMPANY MEMBERS No. 20-16COMPLIANCE MEMBERS No. 31...

[30308] October 14, 2016 TO: ACCOUNTING/TREASURERS MEMBERS No. 28-16DERIVATIVES MARKETS ADVISORY COMMITTEE No. 54-16ETF (EXCHANGE-TRADED FUNDS) COMMITTEE No. 24-16ETF ADVISORY COMMITTEE No. 23-16EQUITY MARKETS ADVISORY COMMITTEE No. 43-16FIXED-INCOME ADVISORY COMMITTEE No. 35...

[30262] September 23, 2016 TO: PENSION MEMBERS No. 31-16OPERATIONS COMMITTEE No. 23-16BANK, TRUST AND RETIREMENT ADVISORY COMMITTEE No. 35-16TRANSFER AGENT ADVISORY COMMITTEE No. 47-16 RE: PBGC ISSUES PROPOSED REGULATIONS TO EXTEND ITS MISSING PARTICIPANT PROGRAM TO TERMINATED DEFINED...

[30241] September 13, 2016 TO: PENSION MEMBERS No. 29-16 OPERATIONS MEMBERS No. 27-16 TRANSFER AGENT ADVISORY COMMITTEE No. 46-16 RE: IRS PROVIDES RELIEF FOR PLAN LOANS AND HARDSHIP DISTRIBUTIONS AND EXTENDS CERTAIN DEADLINES FOR TAXPAYERS AFFECTED BY STORMS AND FLOODING IN LOUISIANA...

[30236] September 12, 2016 TO: PENSION MEMBERS No. 28-16 529 PLAN MEMBERS No. 6-16 BANK, TRUST AND RETIREMENT ADVISORY COMMITTEE No. 33-16 BROKER/DEALER ADVISORY COMMITTEE No. 33-16 TRANSFER AGENT ADVISORY COMMITTEE No. 45-16 OPERATIONS COMMITTEE No. 22-16 RE: IRS PROVIDES INTERNAL...

[30225] September 8, 2016 TO: COMPLIANCE MEMBERS No. 27-16 INVESTMENT ADVISER MEMBERS No. 17-16 OPERATIONS MEMBERS No. 26-16 SMALL FUNDS MEMBERS No. 40-16 TRANSFER AGENT ADVISORY COMMITTEE No. 44-16 RE: FINCEN ADVISORY ON E-MAIL COMPROMISE FRAUD SCHEMES   Earlier this week, the...

[30219] September 8, 2016 TO: ACCOUNTING/TREASURERS MEMBERS No. 24-16 BANK, TRUST AND RETIREMENT ADVISORY COMMITTEE No. 32-16 BROKER/DEALER ADVISORY COMMITTEE No. 30-16 MONEY MARKET FUNDS ADVISORY COMMITTEE No. 23-16 OPERATIONS MEMBERS No. 25-16 SEC RULES MEMBERS No. 50-16 SMALL FUNDS...

[30198] September 2, 2016 TO: TAX COMMITTEE No. 26-16 TRANSFER AGENT ADVISORY COMMITTEE No. 42-16 RE: RESULTS OF SECTION 871 (k) IMPLEMENTATION SURVEY The Institute has collected and aggregated the results (attached) from its recent survey on members’ implementation of the section 871...

We have been informed that South Carolina’s Unclaimed Property Program has revised its reporting instructions for securities-related property.