Transfer Agent Advisory Content

[29360] September 21, 2015 TO: BANK, TRUST AND RETIREMENT ADVISORY COMMITTEE No. 32-15 BROKER/DEALER ADVISORY COMMITTEE No. 43-15 COMPLIANCE MEMBERS No. 27-15 OPERATIONS MEMBERS No. 26-15 SEC RULES MEMBERS No. 54-15 SMALL FUNDS MEMBERS No. 41-15 TRANSFER AGENT ADVISORY COMMITTEE No...

[29358] September 18, 2015 TO: ABLE ACT WORKING GROUP TRANSFER AGENT ADVISORY COMMITTEE No. 49-15 RE: ICI FILES COMMENT LETTER WITH IRS ON PROPOSED ABLE ACT REGULATIONS   As you may recall, in July, the Internal Revenue Service (“IRS”) published for comment regulations intended to...

[29353] September 16, 2015 TO: TRANSFER AGENT ADVISORY COMMITTEE No. 48-15 RE: MARK YOUR CALENDAR - 2016 TAAC MEETING SCHEDULE   Please mark your calendar for the following Transfer Agent Advisory Committee meetings scheduled in 2016: February 3-4, 2016 ICI - Washington, D.C. May 17...

[29329] September 11, 2015 TO: ABLE ACT ISSUES WORKING GROUP TRANSFER AGENT ADVISORY COMMITTEE No. 47-15 RE: ICI DRAFT COMMENT LETTER TO THE IRS ON PROPOSED ABLE ACT REGULATIONS; COMMENTS REQUESTED BY SEPTEMBER 16   As we previously informed you,* earlier this summer the Internal...

[29323] September 8, 2015 TO: AML COMPLIANCE WORKING GROUP No. 3-15 ICI GLOBAL REGULATED FUNDS COMMITTEE No. 55-15 INVESTMENT ADVISERS COMMITTEE No. 11-15 OPERATIONS COMMITTEE No. 20-15 SEC RULES COMMITTEE No. 29-15 SMALL FUNDS COMMITTEE No. 28-15 TRANSFER AGENT ADVISORY COMMITTEE No...

[29286] August 27, 2015 TO: TAX COMMITTEE No. 29-15 TRANSFER AGENT ADVISORY COMMITTEE No. 45-15 PENSION COMMITTEE No. 13-15 PENSION OPERATIONS ADVISORY COMMITTEE No. 11-15 RE: IRS PROPOSES REMOVAL OF AUTOMATIC EXTENSION OF TIME TO FILE INFORMATION RETURNS; COMMENTS REQUESTED   The...

[29275] August 24, 2015 TO: TRANSFER AGENT ADVISORY COMMITTEE No. 44-15 RE: REGISTRATION NOW OPEN: NOVEMBER 4-5, 2015 TRANSFER AGENT ADVISORY COMMITTEE MEETING   The next meeting of the Transfer Agent Advisory Committee will be held on Wednesday, November 4 from 1:00 p.m. to 5:00 p.m...

[29247] August 13, 2015 TO: AML COMPLIANCE WORKING GROUP No. 2-15 TRANSFER AGENT ADVISORY COMMITTEE No. 41-15 RE: IN-PERSON MEETING FOR AML COMPLIANCE WORKING GROUP - FRIDAY, SEPTEMBER 11, 2015; INFORMATION ON GUEST SPEAKERS   As we previously informed you, the Investment Company...

[29250] August 13, 2015 TO: BROKER/DEALER ADVISORY COMMITTEE No. 40-15 OPERATIONS COMMITTEE No. 18-15 PRINCIPAL UNDERWRITERS WORKING GROUP SMALL FUNDS COMMITTEE No. 24-15 TRANSFER AGENT ADVISORY COMMITTEE No. 42-15 RE: ICI FILES COMMENT LETTER WITH FINRA ON PROPOSED DISCRETIONARY...

[29243] August 13, 2015 TO: ACCOUNTING/TREASURERS MEMBERS No. 19-15 INTERNATIONAL MEMBERS No. 29-15 TAX MEMBERS No. 18-15 TRANSFER AGENT ADVISORY COMMITTEE No. 43-15 RE: IRS AND TREASURY RELEASE 2015-2016 PRIORITY GUIDANCE PLAN -- TAX ITEMS   The Internal Revenue Service (“IRS”) and...