Transfer Agent Advisory Content

[28363] September 5, 2014 TO: TRANSFER AGENT ADVISORY COMMITTEE No. 59-14 RE: REGISTRATION NOW OPEN: NOVEMBER 5-6, 2014 TRANSFER AGENT ADVISORY COMMITTEE MEETING   The next meeting of the Transfer Agent Advisory Committee will be held on Wednesday, Nov. 5 from 1:00 p.m. to 5:00 p.m...

[28354] September 2, 2014 TO: TAX MEMBERS No. 25-14 TRANSFER AGENT ADVISORY COMMITTEE No. 58-14 BANK, TRUST AND RETIREMENT ADVISORY COMMITTEE No. 40-14 BROKER/DEALER ADVISORY COMMITTEE No. 45-14 OPERATIONS MEMBERS No. 14-14 ACCOUNTING/TREASURERS MEMBERS No. 12-14 CLOSED-END INVESTMENT...

[28352] August 29, 2014 TO: 529 PLAN MEMBERS No. 16-14 ACCOUNTING/TREASURERS MEMBERS No. 11-14 INTERNATIONAL MEMBERS No. 29-14 PENSION MEMBERS No. 36-14 TAX MEMBERS No. 24-14 TRANSFER AGENT ADVISORY COMMITTEE No. 57-14 RE: IRS AND TREASURY RELEASE 2014-2015 PRIORITY GUIDANCE PLAN  ...

[28336] August 25, 2014 TO: TAAC ABANDONED PROPERTY TASK FORCE TRANSFER AGENT ADVISORY COMMITTEE No. 55-14 RE: CLARIFICATION REGARDING LOUISIANA'S TRIGGERS FOR ABANDONED PROPERTY REPORTING   I recently informed you that Louisiana had confirmed to the ICI that its trigger for...

[28337] August 25, 2014 TO: TAAC ABANDONED PROPERTY TASK FORCE TRANSFER AGENT ADVISORY COMMITTEE No. 56-14 RE: ARKANSAS REMINDS HOLDERS OF ITS VOLUNTARY DISCLOSURE PROGRAM   The Office of the Auditor for the State of Arkansas has published a notice for holders of unclaimed property to...

[28323] August 19, 2014 TO: BANK, TRUST AND RETIREMENT ADVISORY COMMITTEE No. 37-14 BROKER/DEALER ADVISORY COMMITTEE No. 42-14 OPERATIONS COMMITTEE No. 38-14 TRANSFER AGENT ADVISORY COMMITTEE No. 54-14 RE: ICI SUBMITS COMMENT LETTER IN RESPONSE TO SEC'S LATEST TARGET DATE FUNDS...

[28318] August 18, 2014 TO: PENSION MEMBERS No. 34-14 BANK, TRUST AND RETIREMENT ADVISORY COMMITTEE No. 36-14 TRANSFER AGENT ADVISORY COMMITTEE No. 53-14 OPERATIONS MEMBERS No. 13-14 RE: DOL ISSUES UPDATED GUIDANCE ON FIDUCIARY DUTIES AND MISSING PARTICIPANTS IN TERMINATED DEFINED...

[28316] August 15, 2014 TO: TAAC ABANDONED PROPERTY TASK FORCE TRANSFER AGENT ADVISORY COMMITTEE No. 52-14 RE: ICI CONFIRMS THAT LOUISIANA'S TRIGGER FOR ABANDONED PROPERTY ESCHEATMENT IS RETURNED MAIL - NOT "NO CONTACT"   The Unclaimed Property Division of the Louisiana Treasurer’s...

[28307] August 11, 2014 TO: AML COMPLIANCE WORKING GROUP No. 3-14 BROKER/DEALER ADVISORY COMMITTEE No. 41-14 SEC RULES COMMITTEE No. 32-14 TRANSFER AGENT ADVISORY COMMITTEE No. 51-14 RE: FINCEN PROPOSES CUSTOMER DUE DILIGENCE RULES   On July 30, 2014, the Financial Crimes Enforcement...

[28296] August 4, 2014 TO: ACCOUNTING/TREASURERS COMMITTEE No. 20-14 BANK, TRUST AND RETIREMENT ADVISORY COMMITTEE No. 35-14 BROKER/DEALER ADVISORY COMMITTEE No. 40-14 MONEY MARKET FUNDS ADVISORY COMMITTEE No. 18-14 MONEY MARKET WORKING GROUP MUNICIPAL SECURITIES ADVISORY COMMITTEE No...