Transfer Agent Advisory Content

[27360] July 8, 2013 TO: OPERATIONS COMMITTEE No. 30-13 PENSION MEMBERS No. 30-13 TRANSFER AGENT ADVISORY COMMITTEE No. 52-13 RE: IRS EXTENDS CERTAIN DEADLINES FOR TAXPAYERS AFFECTED BY ALASKA FLOODS   The Internal Revenue Service (IRS) has extended certain deadlines (including the...

[27356] July 5, 2013 TO: ACCOUNTING/TREASURERS MEMBERS No. 21-13 INVESTMENT COMPANY DIRECTORS No. 14-13 OPERATIONS MEMBERS No. 16-13 SEC RULES MEMBERS No. 65-13 SMALL FUNDS MEMBERS No. 42-13 TAX MEMBERS No. 23-13 BANK, TRUST AND RETIREMENT ADVISORY COMMITTEE No. 18-13 BROKER/DEALER...

[27348] July 2, 2013 TO: PENSION COMMITTEE No. 16-13 PENSION OPERATIONS ADVISORY COMMITTEE No. 15-13 OPERATIONS COMMITTEE No. 28-13 BANK, TRUST AND RETIREMENT ADVISORY COMMITTEE No. 17-13 TRANSFER AGENT ADVISORY COMMITTEE No. 50-13 RE: ICI CONFERENCE CALL ON PBGC MISSING PARTICIPANTS...

[27337] June 27, 2013 TO: PENSION COMMITTEE No. 15-13 PENSION OPERATIONS ADVISORY COMMITTEE No. 14-13 OPERATIONS COMMITTEE No. 27-13 BANK, TRUST AND RETIREMENT ADVISORY COMMITTEE No. 16-13 TRANSFER AGENT ADVISORY COMMITTEE No. 49-13 RE: PBGC ISSUES REQUEST FOR INFORMATION REGARDING...

[27333] June 25, 2013 TO: TRANSFER AGENT ADVISORY COMMITTEE No. 48-13 BROKER/DEALER ADVISORY COMMITTEE No. 29-13 COMPLIANCE MEMBERS No. 30-13 RE: UNRESPONSIVE PAYEE NOTICE REQUIRED BY EXCHANGE ACT RULE 17Ad-17 MUST BE A SEPARATE DOCUMENT   As you may recall, in December 2012, the SEC...

[27332] June 25, 2013 TO: ACCOUNTING/TREASURERS COMMITTEE No. 20-13 BOARD OF GOVERNORS No. 11-13 CLOSED-END INVESTMENT COMPANY MEMBERS No. 56-13 COMPLIANCE MEMBERS No. 29-13 DERIVATIVES MARKETS ADVISORY COMMITTEE No. 51-13 ETF (EXCHANGE-TRADED FUNDS) COMMITTEE No. 29-13 ETF ADVISORY...

[27320] June 19, 2013 TO: PENSION MEMBERS No. 26-13 OPERATIONS COMMITTEE No. 26-13 TRANSFER AGENT ADVISORY COMMITTEE No. 46-13 RE: DEPARTMENT OF LABOR ISSUES COMPLIANCE GUIDANCE REGARDING OKLAHOMA TORNADOES   The Department of Labor (DOL) issued guidance on compliance with employee...

[27312] June 18, 2013 TO: ACCOUNTING/TREASURERS COMMITTEE No. 19-13 BOARD OF GOVERNORS No. 10-13 CLOSED-END INVESTMENT COMPANY MEMBERS No. 53-13 COMPLIANCE MEMBERS No. 28-13 DERIVATIVES MARKETS ADVISORY COMMITTEE No. 49-13 ETF (EXCHANGE-TRADED FUNDS) COMMITTEE No. 27-13 ETF ADVISORY...

[27308] June 17, 2013 TO: ACCOUNTING/TREASURERS COMMITTEE No. 18-13 BOARD OF GOVERNORS No. 9-13 CLOSED-END INVESTMENT COMPANY MEMBERS No. 52-13 COMPLIANCE MEMBERS No. 27-13 DERIVATIVES MARKETS ADVISORY COMMITTEE No. 48-13 ETF (EXCHANGE-TRADED FUNDS) COMMITTEE No. 26-13 ETF ADVISORY...

[27287] June 10, 2013 TO: ACCOUNTING/TREASURERS COMMITTEE No. 17-13 BANK, TRUST AND RETIREMENT ADVISORY COMMITTEE No. 15-13 BROKER/DEALER ADVISORY COMMITTEE No. 28-13 INVESTMENT COMPANY DIRECTORS No. 9-13 MONEY MARKET FUNDS ADVISORY COMMITTEE No. 13-13 MUNICIPAL SECURITIES ADVISORY...