Transfer Agent Advisory Content

[27192] April 18, 2013 TO: ADVISER DISTRIBUTOR TAX ISSUES TASK FORCE No. 3-13 BANK, TRUST AND RETIREMENT ADVISORY COMMITTEE No. 9-13 BDAC COST BASIS REPORTING TASK FORCE No. 2-13 BROKER/DEALER ADVISORY COMMITTEE No. 20-13 OPERATIONS MEMBERS No. 10-13 SMALL FUNDS MEMBERS No. 27-13 TAAC...

[27190] April 17, 2013 TO: TRANSFER AGENT ADVISORY COMMITTEE No. 31-13 RE: PRELIMINARY AGENDA FOR TAAC MEETING - APRIL 30-MAY 1, 2013   The preliminary agenda and shop talk discussion topics for the next meeting of the Transfer Agent Advisory Committee (“TAAC”) are attached for your...

[27181] April 15, 2013 TO: OPERATIONS COMMITTEE No. 18-13 SMALL FUNDS COMMITTEE No. 9-13 SEC RULES COMMITTEE No. 16-13 TRANSFER AGENT ADVISORY COMMITTEE No. 30-13 RE: SEC ADOPTS IDENTITY THEFT RED FLAG REGULATION AS REQUIRED BY THE DODD-FRANK ACT; COMPLIANCE DATE SET FOR OCTOBER 2013...

[27169] April 9, 2013 TO: TAX COMMITTEE No. 11-13 INTERNATIONAL COMMITTEE No. 12-13 INTERNATIONAL OPERATIONS ADVISORY COMMITTEE No. 9-13 TRANSFER AGENT ADVISORY COMMITTEE No. 29-13 BROKER/DEALER ADVISORY COMMITTEE No. 19-13 ICI GLOBAL TAX COMMITTEE No. 9-13 TAAC FATCA TASK FORCE No. 3...

[27168] April 9, 2013 TO: TAX COMMITTEE No. 10-13 INTERNATIONAL COMMITTEE No. 11-13 INTERNATIONAL OPERATIONS ADVISORY COMMITTEE No. 8-13 TRANSFER AGENT ADVISORY COMMITTEE No. 28-13 BROKER/DEALER ADVISORY COMMITTEE No. 18-13 ICI GLOBAL TAX COMMITTEE No. 8-13 TAAC FATCA TASK FORCE No. 2...

[27165] April 8, 2013 TO: TAX COMMITTEE No. 9-13 INTERNATIONAL COMMITTEE No. 10-13 INTERNATIONAL OPERATIONS ADVISORY COMMITTEE No. 7-13 TRANSFER AGENT ADVISORY COMMITTEE No. 27-13 BROKER/DEALER ADVISORY COMMITTEE No. 17-13 ICI GLOBAL TAX COMMITTEE No. 7-13 RE: IRS RELEASES DRAFT...

[27158] April 5, 2013 TO: BANK, TRUST AND RETIREMENT ADVISORY COMMITTEE No. 8-13 BROKER/DEALER ADVISORY COMMITTEE No. 16-13 OPERATIONS COMMITTEE No. 14-13 TRANSFER AGENT ADVISORY COMMITTEE No. 26-13 RE: GAO ISSUES REPORT ON 401(K) PLAN ROLLOVERS   The GAO has issued its long awaited...

[27152] April 4, 2013 TO: ACCOUNTING/TREASURERS COMMITTEE No. 12-13 BOARD OF GOVERNORS No. 7-13 CLOSED-END INVESTMENT COMPANY MEMBERS No. 30-13 COMPLIANCE MEMBERS No. 19-13 DERIVATIVES MARKETS ADVISORY COMMITTEE No. 27-13 ETF (EXCHANGE-TRADED FUNDS) COMMITTEE No. 20-13 ETF ADVISORY...

[27143] April 1, 2013 TO: ACCOUNTING/TREASURERS MEMBERS No. 9-13 BANK, TRUST AND RETIREMENT ADVISORY COMMITTEE - FUND MEMBERS BROKER/DEALER ADVISORY COMMITTEE - FUND MEMBERS CHIEF COMPLIANCE OFFICER COMMITTEE No. 5-13 OPERATIONS MEMBERS No. 8-13 PAST PARTICIPANTS–ICI TRANSFER AGENT...

[27101] March 12, 2013 TO: ACCOUNTING/TREASURERS COMMITTEE No. 11-13 BOARD OF GOVERNORS No. 6-13 CLOSED-END INVESTMENT COMPANY MEMBERS No. 24-13 COMPLIANCE MEMBERS No. 17-13 DERIVATIVES MARKETS ADVISORY COMMITTEE No. 25-13 ETF (EXCHANGE-TRADED FUNDS) COMMITTEE No. 15-13 ETF ADVISORY...