Transfer Agent Advisory Content

[28006] March 31, 2014 TO: BANK, TRUST AND RETIREMENT ADVISORY COMMITTEE No. 15-14 BROKER/DEALER ADVISORY COMMITTEE No. 16-14 OPERATIONS COMMITTEE No. 16-14 SMALL FUNDS COMMITTEE No. 4-14 TRANSFER AGENT ADVISORY COMMITTEE No. 19-14 RE: SUMMARY OF THE SEC’S MARCH 26 CYBERSECURITY...

[27982] March 25, 2014 TO: BANK, TRUST AND RETIREMENT ADVISORY COMMITTEE No. 13-14 OPERATIONS COMMITTEE No. 13-14 TRANSFER AGENT ADVISORY COMMITTEE No. 17-14 RE: SENATOR HARKIN INTRODUCES USA RETIREMENT FUNDS LEGISLATION   Senator Tom Harkin (D-IA), chairman of the Senate Committee on...

[27984] March 25, 2014 TO: BANK, TRUST AND RETIREMENT ADVISORY COMMITTEE No. 14-14 BROKER/DEALER ADVISORY COMMITTEE No. 15-14 OPERATIONS COMMITTEE No. 15-14 TRANSFER AGENT ADVISORY COMMITTEE No. 18-14 RE: CAMP 2014 TAX REFORM PROPOSAL   As we previously informed you, Chairman Dave...

URGENT/ACTION REQUESTED [27973] March 24, 2014 TO: TRANSFER AGENT ADVISORY COMMITTEE No. 16-14 PENSION MEMBERS No. 12-14 AML COMPLIANCE WORKING GROUP No. 1-14 RE: ACCESS TO DEATH MASTER FILE WILL END MARCH 26TH UNLESS SUBSCRIBERS COMPLETE TEMPORARY CERTIFICATION FORM; CALL SCHEDULED...

[27968] March 21, 2014 TO: PENSION MEMBERS No. 11-14 BANK, TRUST AND RETIREMENT ADVISORY COMMITTEE No. 12-14 BROKER/DEALER ADVISORY COMMITTEE No. 13-14 TRANSFER AGENT ADVISORY COMMITTEE No. 15-14 OPERATIONS COMMITTEE No. 12-14 RE: IRS ISSUES GUIDANCE ON ONE-PER-YEAR LIMIT ON IRA...

[27960] March 14, 2014 TO: PENSION MEMBERS No. 10-14 BANK, TRUST AND RETIREMENT ADVISORY COMMITTEE No. 11-14 BROKER/DEALER ADVISORY COMMITTEE No. 12-14 OPERATIONS COMMITTEE No. 11-14 RE: DOL ISSUES PROPOSED 408(b)(2) GUIDE RULE AND FOCUS GROUP INFORMATION COLLECTION REQUEST   On March...

[27958] March 14, 2014 TO: TRANSFER AGENT ADVISORY COMMITTEE No. 14-14 PENSION MEMBERS No. 9-14 RE: ICI FILES COMMENT LETTER WITH DEPARTMENT OF COMMERCE DISCUSSING IMPORTANCE OF MUTUAL FUNDS' ACCESS TO THE DEATH MASTER FILE   As you may know, the Bipartisan Budget Act of 2013 requires...

[27946] March 11, 2014 TO: ACCOUNTING/TREASURERS COMMITTEE No. 6-14 CLOSED-END INVESTMENT COMPANY COMMITTEE No. 7-14 DERIVATIVES MARKETS ADVISORY COMMITTEE No. 14-14 OPERATIONS COMMITTEE No. 10-14 SECURITIES OPERATIONS ADVISORY GROUP TRANSFER AGENT ADVISORY COMMITTEE No. 13-14 RE: ICI...

[27934] March 7, 2014 TO: TRANSFER AGENT ADVISORY COMMITTEE No. 12-14 RE: REGISTRATION NOW OPEN: APRIL 30 - MAY 1 TRANSFER AGENT ADVISORY COMMITTEE MEETING   The next meeting of the Transfer Agent Advisory Committee will be held on Wednesday, April 30 from 1:00 p.m. to 5:00 p.m. ET...

The members of Investment Company Institute’s Board of Governors recently agreed to support the Depository Trust & Clearing Corporation (DTCC) industry initiative to shorten the U.S. settlement cycle for equities, municipal and corporate bonds, and unit investment trusts from trade...