Transfer Agent Advisory Content

[29089] June 15, 2015 TO: BANK, TRUST AND RETIREMENT ADVISORY COMMITTEE No. 19-15 OPERATIONS COMMITTEE No. 11-15 SMALL FUNDS COMMITTEE No. 13-15 TRANSFER AGENT ADVISORY COMMITTEE No. 29-15 RE: FINRA PUBLISHES FOR COMMENT A CONCEPT PROPOSAL TO RESTRUCTURE ITS QUALIFICATION EXAMINATIONS...

[29073] June 9, 2015 TO: BROKER/DEALER ADVISORY COMMITTEE No. 26-15 COMPLIANCE MEMBERS No. 21-15 INVESTMENT ADVISER MEMBERS No. 15-15 OPERATIONS MEMBERS No. 22-15 SEC RULES MEMBERS No. 38-15 SMALL FUNDS MEMBERS No. 26-15 TRANSFER AGENT ADVISORY COMMITTEE No. 28-15 RE: CLARIFICATION OF...

[29072] June 8, 2015 TO: PENSION MEMBERS No. 20-15 OPERATIONS MEMBERS No. 20-15 TRANSFER AGENT ADVISORY COMMITTEE No. 26-15 RE: IRS EXTENDS CERTAIN DEADLINES FOR TAXPAYERS AFFECTED BY SEVERE STORMS, TORNADOES, STRAIGHT-LINE WINDS AND FLOODING IN TEXAS   The Internal Revenue Service...

[29071] June 8, 2015 TO: PENSION MEMBERS No. 21-15 OPERATIONS MEMBERS No. 21-15 TRANSFER AGENT ADVISORY COMMITTEE No. 27-15 RE: IRS EXTENDS CERTAIN DEADLINES FOR TAXPAYERS AFFECTED BY SEVERE STORMS, TORNADOES, STRAIGHT-LINE WINDS AND FLOODING IN OKLAHOMA   The Internal Revenue Service...

[29067] June 8, 2015 TO: PENSION MEMBERS No. 19-15 BANK, TRUST AND RETIREMENT ADVISORY COMMITTEE No. 18-15 BROKER/DEALER ADVISORY COMMITTEE No. 25-15 OPERATIONS MEMBERS No. 19-15 TRANSFER AGENT ADVISORY COMMITTEE No. 25-15 RE: DEPARTMENT OF LABOR ISSUES UPDATED REGULATORY AGENDA AND...

[29051] June 4, 2015 TO: ACCOUNTING/TREASURERS MEMBERS No. 13-15 BANK, TRUST AND RETIREMENT ADVISORY COMMITTEE No. 17-15 BROKER/DEALER ADVISORY COMMITTEE No. 24-15 MONEY MARKET FUNDS ADVISORY COMMITTEE No. 18-15 MUNICIPAL SECURITIES ADVISORY COMMITTEE No. 11-15 OPERATIONS MEMBERS No...

[29036] May 28, 2015 TO: ACCOUNTING/TREASURERS MEMBERS No. 11-15 BANK, TRUST AND RETIREMENT ADVISORY COMMITTEE No. 15-15 BROKER/DEALER ADVISORY COMMITTEE No. 20-15 CHIEF RISK OFFICER COMMITTEE No. 12-15 CLOSED-END INVESTMENT COMPANY MEMBERS No. 18-15 COMPLIANCE MEMBERS No. 20-15...

[29020] May 27, 2015 TO: TRANSFER AGENT ADVISORY COMMITTEE No. 21-15 RE: REGISTRATION NOW OPEN: JULY 22-23, 2015 TRANSFER AGENT ADVISORY COMMITTEE MEETING   The next meeting of the Transfer Agent Advisory Committee will be held on Wednesday, July 22 from 1:00 p.m. to 5:00 p.m. ET and...

[28960] May 7, 2015 TO: 529 PLAN MEMBERS No. 5-15 ACCOUNTING/TREASURERS MEMBERS No. 10-15 ADVISER DISTRIBUTOR TAX ISSUES TASK FORCE No. 9-15 BDAC COST BASIS REPORTING TASK FORCE No. 1-15 BANK, TRUST AND RETIREMENT ADVISORY COMMITTEE No. 14-15 BROKER/DEALER ADVISORY COMMITTEE No. 18-15...

[28946] April 30, 2015 TO: OPERATIONS MEMBERS No. 17-15 OPERATIONS COMMITTEE No. 8-15 BROKER/DEALER ADVISORY COMMITTEE No. 17-15 BANK, TRUST AND RETIREMENT ADVISORY COMMITTEE No. 13-15 TRANSFER AGENT ADVISORY COMMITTEE No. 19-15 SMALL FUNDS COMMITTEE No. 5-15 RE: DTCC MUTUAL FUND...