Transfer Agent Advisory Content

[29532] December 8, 2015 TO: SEC RULES MEMBERS No. 62-15 PRIVACY ISSUES WORKING GROUP No. 2-15 SMALL FUNDS MEMBERS No. 47-15 TRANSFER AGENT ADVISORY COMMITTEE No. 60-15 OPERATIONS MEMBERS No. 30-15 RE: CONGRESS REVISES ANNUAL PRIVACY NOTICE REQUIREMENT   Congress recently enacted H.R...

[29516] November 25, 2015 TO: BROKER/DEALER ADVISORY COMMITTEE No. 50-15 PRINCIPAL UNDERWRITERS WORKING GROUP TRANSFER AGENT ADVISORY COMMITTEE No. 59-15 RE: ICI SUBMITS COMMENT LETTER ON FINRA'S PROPOSED RULES TO ADDRESS SENIOR EXPLOITATION   ICI submitted a comment letter to FINRA...

[29515] November 24, 2015 TO: ABLE ACT WORKING GROUP TRANSFER AGENT ADVISORY COMMITTEE No. 58-15 RE: IRS PUBLISHES INTERIM GUIDANCE TO SIMPLIFY ABLE ACT PROGRAM ADMINISTRATION   As you may recall, earlier this year the Internal Revenue Service published for comment regulations...

[29508] November 19, 2015 TO: BROKER/DEALER ADVISORY COMMITTEE No. 49-15 PRINCIPAL UNDERWRITERS WORKING GROUP TRANSFER AGENT ADVISORY COMMITTEE No. 57-15 RE: ICI DRAFT COMMENT LETTER ON FINRA'S PROPOSED RULES TO ADDRESS SENIOR EXPLOITATION; FEEDBACK REQUESTED BY NOVEMBER 24   As we...

[29490] November 16, 2015 TO: ACCOUNTING/TREASURERS COMMITTEE No. 28-15 BANK, TRUST AND RETIREMENT ADVISORY COMMITTEE No. 35-15 BROKER/DEALER ADVISORY COMMITTEE No. 48-15 MONEY MARKET FUNDS ADVISORY COMMITTEE No. 33-15 MUNICIPAL SECURITIES ADVISORY COMMITTEE No. 23-15 OPERATIONS...

[29461] November 2, 2015 TO: AML COMPLIANCE WORKING GROUP No. 5-15 ICI GLOBAL REGULATED FUNDS COMMITTEE No. 68-15 INTERNATIONAL MEMBERS No. 38-15 INVESTMENT ADVISER MEMBERS No. 25-15 OPERATIONS MEMBERS No. 29-15 SEC RULES MEMBERS No. 57-15 SMALL FUNDS MEMBERS No. 44-15 TRANSFER AGENT...

[29457] October 30, 2015 TO: BROKER/DEALER ADVISORY COMMITTEE No. 46-15 OPERATIONS MEMBERS No. 28-15 PRINCIPAL UNDERWRITERS WORKING GROUP TRANSFER AGENT ADVISORY COMMITTEE No. 54-15 RE: FINRA SANCTIONS ADDITIONAL FUND DISTRIBUTORS FOR FAILING TO WAIVE FEES IN ACCORDANCE WITH FUND...

[29432] October 21, 2015 TO: AML COMPLIANCE WORKING GROUP No. 4-15 ICI GLOBAL REGULATED FUNDS COMMITTEE No. 64-15 INTERNATIONAL COMMITTEE No. 57-15 INVESTMENT ADVISERS COMMITTEE No. 13-15 OPERATIONS COMMITTEE No. 23-15 SEC RULES COMMITTEE No. 33-15 SMALL FUNDS COMMITTEE No. 31-15...

In June, the Industry Steering Committee (ISC) to shorten the U.S. securities settlement cycle released a white paper recommending a migration target of the 3rd quarter, 2017 for the move to T+2 settlement cycle.

[29367] September 28, 2015 TO: ACCOUNTING/TREASURERS COMMITTEE No. 24-15 BANK, TRUST AND RETIREMENT ADVISORY COMMITTEE No. 33-15 BROKER/DEALER ADVISORY COMMITTEE No. 44-15 CHIEF RISK OFFICER COMMITTEE No. 22-15 COMPLIANCE ADVISORY COMMITTEE No. 8-15 END OF DAY PRICING FORUM No. 7-15...