Transfer Agent Advisory Content

[28780] February 26, 2015 TO: SEC RULES MEMBERS No. 14-15 COMPLIANCE MEMBERS No. 9-15 SMALL FUNDS MEMBERS No. 9-15 TECHNOLOGY COMMITTEE No. 4-15 CHIEF INFORMATION SECURITY OFFICER ADVISORY COMMITTEE BROKER/DEALER ADVISORY COMMITTEE No. 8-15 TRANSFER AGENT ADVISORY COMMITTEE No. 9-15...

[28735] February 13, 2015 TO: OPERATIONS MEMBERS No. 7-15 BROKER/DEALER ADVISORY COMMITTEE No. 7-15 BANK, TRUST AND RETIREMENT ADVISORY COMMITTEE No. 5-15 SMALL FUNDS MEMBERS No. 5-15 COMPLIANCE MEMBERS No. 6-15 TRANSFER AGENT ADVISORY COMMITTEE No. 8-15 RE: FINRA SANCTIONS BROKER...

[28729] February 11, 2015 TO: OPERATIONS COMMITTEE No. 5-15 BANK, TRUST AND RETIREMENT ADVISORY COMMITTEE No. 4-15 BROKER/DEALER ADVISORY COMMITTEE No. 6-15 TRANSFER AGENT ADVISORY COMMITTEE No. 7-15 RE: RETIREMENT PLAN PROPOSALS IN OBAMA ADMINISTRATION FY 2016 BUDGET   President...

[28705] February 3, 2015 TO: ACCOUNTING/TREASURERS COMMITTEE No. 2-15 BANK, TRUST AND RETIREMENT ADVISORY COMMITTEE No. 3-15 BROKER/DEALER ADVISORY COMMITTEE No. 4-15 MONEY MARKET FUNDS ADVISORY COMMITTEE No. 7-15 MUNICIPAL SECURITIES ADVISORY COMMITTEE No. 4-15 OPERATIONS COMMITTEE...

[28707] February 3, 2015 TO: CHIEF INFORMATION SECURITY OFFICER ADVISORY COMMITTEE CHIEF RISK OFFICER COMMITTEE No. 3-15 BROKER/DEALER ADVISORY COMMITTEE No. 5-15 SEC RULES MEMBERS No. 7-15 COMPLIANCE MEMBERS No. 5-15 SMALL FUNDS MEMBERS No. 3-15 TECHNOLOGY COMMITTEE No. 3-15 TRANSFER...

[28704] February 3, 2015 TO: BROKER/DEALER ADVISORY COMMITTEE No. 3-15 OPERATIONS COMMITTEE No. 3-15 TRANSFER AGENT ADVISORY COMMITTEE No. 4-15 RE: STATE OF WASHINGTON ISSUES POLICY STATEMENT REGARDING PROCESS TO VOLUNTARILY RESOLVE OVERSALES IN THE STATE   As you may know, the State...

[28682] January 21, 2015 TO: PENSION MEMBERS No. 4-15 BANK, TRUST AND RETIREMENT ADVISORY COMMITTEE No. 2-15 OPERATIONS MEMBERS No. 4-15 TRANSFER AGENT ADVISORY COMMITTEE No. 3-15 RE: GAO ISSUES REPORT ON AUTOMATIC ROLLOVERS AND RECOMMENDS CHANGES TO PERMIT ALTERNATIVE DEFAULT...

[28664] January 13, 2015 TO: BROKER/DEALER ADVISORY COMMITTEE No. 2-15 CHIEF RISK OFFICER COMMITTEE No. 1-15 COMPLIANCE MEMBERS No. 2-15 INTERNAL AUDIT ADVISORY COMMITTEE No. 1-15 INVESTMENT COMPANY DIRECTORS No. 1-15 OPERATIONS MEMBERS No. 2-15 PENSION MEMBERS No. 3-15 SEC RULES...

[28646] January 7, 2015 TO: PENSION MEMBERS No. 1-15 BANK, TRUST AND RETIREMENT ADVISORY COMMITTEE No. 1-15 BROKER/DEALER ADVISORY COMMITTEE No. 1-15 OPERATIONS MEMBERS No. 1-15 TRANSFER AGENT ADVISORY COMMITTEE No. 1-15 RE: INSTITUTE COMMENT LETTER TO OMB ON DEPARTMENT OF LABOR...

[28636] December 30, 2014 TO: TRANSFER AGENT ADVISORY COMMITTEE No. 79-14 BROKER/DEALER ADVISORY COMMITTEE No. 60-14 BANK, TRUST AND RETIREMENT ADVISORY COMMITTEE No. 52-14 RE: FSOC REQUEST FOR COMMENT ON ASSET MANAGEMENT AND POSSIBLE RISKS TO FINANCIAL STABILITY   At an open session...