Transfer Agent Advisory Content

[28207] June 18, 2014 TO: OPERATIONS COMMITTEE No. 30-14 TRANSFER AGENT ADVISORY COMMITTEE No. 37-14 RE: FINRA PUBLISHES NOTICE REGARDING ITS REVISED CONSOLIDATED SUPERVISION RULES; EFFECTIVE DATE OF RULES IS DECEMBER 1, 2014   As we previously advised you, in December 2013, the...

[28200] June 18, 2014 TO: OPERATIONS COMMITTEE No. 31-14 TRANSFER AGENT ADVISORY COMMITTEE No. 38-14 RE: FINCEN GUIDANCE - BSA EXPECTATIONS REGARDING MARIJUANA-RELATED BUSINESSES   Overview On February 14, 2014, the Department of the Treasury, Financial Crimes Enforcement Network (...

[28193] June 18, 2014 TO: COMPLIANCE MEMBERS No. 11-14 OPERATIONS MEMBERS No. 5-14 SEC RULES MEMBERS No. 23-14 BROKER/DEALER ADVISORY COMMITTEE No. 33-14 BANK, TRUST AND RETIREMENT ADVISORY COMMITTEE No. 26-14 TRANSFER AGENT ADVISORY COMMITTEE No. 35-14 SALES FORCE MARKETING COMMITTEE...

[28194] June 18, 2014 TO: TRANSFER AGENT ADVISORY COMMITTEE No. 36-14 TAAC ABANDONED PROPERTY TASK FORCE RE: ICI CONFIRMS THAT THE WISCONSIN TRIGGER FOR ABANDONED PROPERTY ESCHEATMENT IS RETURNED MAIL, NOT “NO CONTACT”   The Institute has been contacted by the Wisconsin Securities...

[28204] June 18, 2014 TO: BANK, TRUST AND RETIREMENT ADVISORY COMMITTEE No. 27-14 OPERATIONS COMMITTEE No. 32-14 TRANSFER AGENT ADVISORY COMMITTEE No. 39-14 RE: IRS GUIDANCE FACILITATING ROLLOVERS TO PLANS   The IRS published Revenue Ruling 2014-09, [1] providing guidance to...

[28179] June 11, 2014 TO: PENSION MEMBERS No. 23-14 BANK, TRUST AND RETIREMENT ADVISORY COMMITTEE No. 24-14 BROKER/DEALER ADVISORY COMMITTEE No. 31-14 OPERATIONS MEMBERS No. 3-14 TRANSFER AGENT ADVISORY COMMITTEE No. 33-14 RE: INSTITUTE COMMENT LETTER ON DEPARTMENT OF LABOR PROPOSED...

[28180] June 11, 2014 TO: PENSION MEMBERS No. 24-14 BANK, TRUST AND RETIREMENT ADVISORY COMMITTEE No. 25-14 BROKER/DEALER ADVISORY COMMITTEE No. 32-14 OPERATIONS MEMBERS No. 4-14 TRANSFER AGENT ADVISORY COMMITTEE No. 34-14 RE: DEPARTMENT OF LABOR ISSUES UPDATED REGULATORY AGENDA AND...

[28176] June 10, 2014 TO: 529 PLAN MEMBERS No. 11-14 ACCOUNTING/TREASURERS MEMBERS No. 7-14 ADVISER DISTRIBUTOR TAX ISSUES TASK FORCE No. 8-14 BDAC COST BASIS REPORTING TASK FORCE No. 1-14 BANK, TRUST AND RETIREMENT ADVISORY COMMITTEE No. 23-14 BROKER/DEALER ADVISORY COMMITTEE No. 30...

[28172] June 9, 2014 TO: TAX MEMBERS No. 14-14 ICI GLOBAL TAX COMMITTEE No. 11-14 INTERNATIONAL OPERATIONS ADVISORY COMMITTEE No. 8-14 TRANSFER AGENT ADVISORY COMMITTEE No. 31-14 BROKER/DEALER ADVISORY COMMITTEE No. 29-14 TAAC FATCA TASK FORCE No. 6-14 RE: ICI COMMENT LETTER TO IRS ON...

[28159] June 5, 2014 TO: TRANSFER AGENT ADVISORY COMMITTEE No. 30-14 RE: REGISTRATION NOW OPEN: JULY 22-23, 2014 TRANSFER AGENT ADVISORY COMMITTEE MEETING   The next meeting of the Transfer Agent Advisory Committee will be held on Tuesday, July 22 from 1:00 p.m. to 5:00 p.m. ET and on...