Transfer Agent Advisory Content

[27901] February 20, 2014 TO: TAX MEMBERS No. 3-14 INTERNATIONAL MEMBERS No. 6-14 INTERNATIONAL OPERATIONS ADVISORY COMMITTEE No. 4-14 TRANSFER AGENT ADVISORY COMMITTEE No. 11-14 BANK, TRUST AND RETIREMENT ADVISORY COMMITTEE No. 10-14 ICI GLOBAL MEMBERS No. 6-14 RE: TREASURY AMENDS...

[27894] February 18, 2014 TO: PENSION MEMBERS No. 4-14 BANK, TRUST AND RETIREMENT ADVISORY COMMITTEE No. 8-14 BROKER/DEALER ADVISORY COMMITTEE No. 8-14 TRANSFER AGENT ADVISORY COMMITTEE No. 9-14 OPERATIONS COMMITTEE No. 7-14 RE: TAX COURT HOLDS THAT ONE-PER-YEAR LIMIT ON IRA ROLLOVERS...

[27892] February 13, 2014 TO: ICI GLOBAL DAILY ICI GLOBAL STEERING COMMITTEE No. 2-14 ICI GLOBAL MEMBERS No. 3-14 ICI GLOBAL TAX COMMITTEE No. 2-14 TAX MEMBERS No. 2-14 INTERNATIONAL MEMBERS No. 3-14 INTERNATIONAL OPERATIONS ADVISORY COMMITTEE No. 3-14 TRANSFER AGENT ADVISORY...

[27883] February 11, 2014 TO: ACCOUNTING/TREASURERS COMMITTEE No. 4-14 CLOSED-END INVESTMENT COMPANY COMMITTEE No. 3-14 DERIVATIVES MARKETS ADVISORY COMMITTEE No. 10-14 OPERATIONS COMMITTEE No. 6-14 SECURITIES OPERATIONS ADVISORY GROUP TRANSFER AGENT ADVISORY COMMITTEE No. 7-14 RE...

[27861] January 24, 2014 TO: ACCOUNTING/TREASURERS COMMITTEE No. 2-14 CLOSED-END INVESTMENT COMPANY COMMITTEE No. 2-14 DERIVATIVES MARKETS ADVISORY COMMITTEE No. 5-14 OPERATIONS COMMITTEE No. 3-14 SECURITIES OPERATIONS ADVISORY GROUP TRANSFER AGENT ADVISORY COMMITTEE No. 6-14 RE: NFA...

[27854] January 22, 2014 TO: BROKER/DEALER ADVISORY COMMITTEE No. 5-14 OPERATIONS COMMITTEE No. 2-14 TRANSFER AGENT ADVISORY COMMITTEE No. 5-14 TAAC FATCA TASK FORCE No. 2-14 TAX COMMITTEE No. 2-14 RE: ICI MUTUAL FUND TRANSFER AGENT GUIDE FOR FOREIGN ACCOUNT TAX COMPLIANCE ACT (FATCA)...

[27847] January 16, 2014 TO: ACCOUNTING/TREASURERS MEMBERS No. 1-14 BANK, TRUST AND RETIREMENT ADVISORY COMMITTEE No. 5-14 BROKER/DEALER ADVISORY COMMITTEE No. 4-14 COMPLIANCE MEMBERS No. 3-14 INVESTMENT COMPANY DIRECTORS No. 2-14 OPERATIONS MEMBERS No. 2-14 SMALL FUNDS MEMBERS No. 2...

[27842] January 14, 2014 TO: TRANSFER AGENT ADVISORY COMMITTEE No. 3-14 RE: SEC APPROVES NYSE PROPOSAL REGARDING PROXY DISTRIBUTION FEES   The Securities and Exchange Commission has issued an order (“Approval Order”) [1] approving a New York Stock Exchange (“NYSE”) proposed rule...

[27827] January 10, 2014 TO: COMPLIANCE MEMBERS No. 1-14 OPERATIONS MEMBERS No. 1-14 BROKER/DEALER ADVISORY COMMITTEE No. 3-14 TRANSFER AGENT ADVISORY COMMITTEE No. 2-14 SEC RULES MEMBERS No. 2-14 INTERNAL AUDIT ADVISORY COMMITTEE No. 1-14 CHIEF RISK OFFICER COMMITTEE No. 1-14 RE: SEC...

[27818] January 6, 2014 TO: TAX MEMBERS No. 1-14 TRANSFER AGENT ADVISORY COMMITTEE No. 1-14 BROKER/DEALER ADVISORY COMMITTEE No. 1-14 TAAC FATCA TASK FORCE No. 1-14 RE: ICI COMMENT LETTER ON FORM W-9 SUBMITTED TO IRS   On January 6, the ICI and the American Council of Life Insurers (...