Transfer Agent Advisory Content

[29629] January 12, 2016 TO: BROKER/DEALER ADVISORY COMMITTEE No. 3-16 CHIEF RISK OFFICER COMMITTEE No. 2-16 COMPLIANCE MEMBERS No. 2-16 INTERNAL AUDIT COMMITTEE No. 1-16 INVESTMENT COMPANY DIRECTORS No. 3-16 OPERATIONS MEMBERS No. 2-16 PENSION MEMBERS No. 1-16 SEC RULES MEMBERS No. 3...

[29615] January 7, 2016 TO: BROKER/DEALER ADVISORY COMMITTEE No. 1-16 COMPLIANCE MEMBERS No. 1-16 OPERATIONS MEMBERS No. 1-16 PRINCIPAL UNDERWRITERS WORKING GROUP SEC RULES MEMBERS No. 2-16 SMALL FUNDS MEMBERS No. 1-16 TRANSFER AGENT ADVISORY COMMITTEE No. 2-16 RE: SEC DIVISION OF...

[29608] January 5, 2016 TO: AML COMPLIANCE WORKING GROUP No. 1-16 INVESTMENT ADVISERS COMMITTEE No. 2-16 OPERATIONS COMMITTEE No. 1-16 SEC RULES COMMITTEE No. 2-16 SMALL FUNDS COMMITTEE No. 2-16 TRANSFER AGENT ADVISORY COMMITTEE No. 1-16 RE: FINCEN RELEASES REGULATORY IMPACT...

[29596] December 23, 2015 TO: TRANSFER AGENT ADVISORY COMMITTEE No. 68-15 RE: SEC SEEKS COMMENT ON PROPOSED REVISIONS TO ITS TRANSFER AGENT RULES; CALLS SCHEDULED FOR JANUARY 7TH AND 12TH   Yesterday the U.S. Securities and Exchange Commission published an Advanced Notice of Public...

[29586] December 22, 2015 TO: ACCOUNTING/TREASURERS COMMITTEE No. 32-15 BANK, TRUST AND RETIREMENT ADVISORY COMMITTEE No. 41-15 BROKER/DEALER ADVISORY COMMITTEE No. 56-15 CHIEF COMPLIANCE OFFICER COMMITTEE No. 21-15 COMPLIANCE ADVISORY COMMITTEE No. 11-15 DERIVATIVES MARKETS ADVISORY...

On December 18, 2015, ICI and SIFMA—as co-chairs of the Industry Steering Committee (ISC) to shortened the securities settlement cycle in the U.S. [1]—submitted a T+2 Industry Implementation Playbook [2] to the Securities and Exchange Commission (SEC).

  [29576] December 18, 2015 TO: TAX MEMBERS No. 29-15 PENSION MEMBERS No. 36-15 ACCOUNTING/TREASURERS MEMBERS No. 28-15 529 PLAN MEMBERS No. 11-15 BANK, TRUST AND RETIREMENT ADVISORY COMMITTEE No. 39-15 TRANSFER AGENT ADVISORY COMMITTEE No. 65-15 INTERNATIONAL MEMBERS No. 46-15 RE...

[29566] December 17, 2015 TO: ACCOUNTING/TREASURERS MEMBERS No. 26-15 BANK, TRUST AND RETIREMENT ADVISORY COMMITTEE No. 38-15 BROKER/DEALER ASSOCIATE MEMBERS No. 2-15 CHIEF RISK OFFICER COMMITTEE No. 24-15 COMPLIANCE MEMBERS No. 33-15 ETF (EXCHANGE-TRADED FUNDS) COMMITTEE No. 32-15...

[29542] December 14, 2015 TO: ACCOUNTING/TREASURERS MEMBERS No. 24-15 BANK, TRUST AND RETIREMENT ADVISORY COMMITTEE No. 36-15 BROKER/DEALER ADVISORY COMMITTEE No. 51-15 COMPLIANCE MEMBERS No. 32-15 INVESTMENT COMPANY DIRECTORS No. 35-15 OPERATIONS MEMBERS No. 31-15 SMALL FUNDS MEMBERS...

[29531] December 8, 2015 TO: TRANSFER AGENT ADVISORY COMMITTEE No. 61-15 RE: REGISTRATION NOW OPEN: FEBRUARY 3-4, 2016 TRANSFER AGENT ADVISORY COMMITTEE MEETING   The next meeting of the Transfer Agent Advisory Committee will be held on Wednesday, February 3 from 1:00 p.m. to 5:00 p.m...