Transfer Agent Advisory Content

[26818] January 3, 2013 TO: ACCOUNTING/TREASURERS COMMITTEE No. 1-13 BOARD OF GOVERNORS No. 1-13 CLOSED-END INVESTMENT COMPANY MEMBERS No. 2-13 COMPLIANCE MEMBERS No. 1-13 DERIVATIVES MARKETS ADVISORY COMMITTEE No. 3-13 ETF (EXCHANGE-TRADED FUNDS) COMMITTEE No. 1-13 ETF ADVISORY...

[26813] January 2, 2013 TO: TAX MEMBERS No. 1-13 OPERATIONS MEMBERS No. 1-13 INTERNATIONAL MEMBERS No. 2-13 TRANSFER AGENT ADVISORY COMMITTEE No. 1-13 INDEPENDENT DIRECTORS COUNCIL No. 1-13 RE: AMERICAN TAXPAYER RELIEF ACT OF 2012 APPROVED BY CONGRESS   The American Taxpayer Relief...

[26810] December 31, 2012 TO: ADVERTISING COMPLIANCE ADVISORY COMMITTEE No. 23-12 CLOSED-END INVESTMENT COMPANY MEMBERS No. 88-12 COMPLIANCE MEMBERS No. 31-12 DERIVATIVES MARKETS ADVISORY COMMITTEE No. 73-12 INVESTMENT ADVISER MEMBERS No. 55-12 OPERATIONS MEMBERS No. 11-12 SEC RULES...

[26806] December 27, 2012 TO: ACCOUNTING/TREASURERS COMMITTEE No. 20-12 BOARD OF GOVERNORS No. 15-12 CLOSED-END INVESTMENT COMPANY MEMBERS No. 86-12 COMPLIANCE MEMBERS No. 30-12 DERIVATIVES MARKETS ADVISORY COMMITTEE No. 72-12 ETF (EXCHANGE-TRADED FUNDS) COMMITTEE No. 45-12 ETF...

[26805] December 24, 2012 TO: TRANSFER AGENT ADVISORY COMMITTEE No. 81-12 BROKER/DEALER ADVISORY COMMITTEE No. 68-12 COMPLIANCE MEMBERS No. 29-12 INVESTMENT ADVISER MEMBERS No. 53-12 SMALL FUNDS MEMBERS No. 43-12 RE: SEC ADOPTS “MISSING SECURITYHOLDER” RULES AS REQUIRED BY THE DODD...

[26799] December 20, 2012 TO: PENSION MEMBERS No. 38-12 BANK, TRUST AND RETIREMENT ADVISORY COMMITTEE No. 61-12 TRANSFER AGENT ADVISORY COMMITTEE No. 80-12 RE: DEPARTMENT OF LABOR ISSUES PROPOSED AMENDMENTS TO ABANDONED PLAN REGULATIONS AND CLASS EXEMPTION   The Department of Labor...

[26778] December 19, 2012 TO: BROKER/DEALER ADVISORY COMMITTEE No. 67-12 INTERNATIONAL MEMBERS No. 55-12 INTERNATIONAL OPERATIONS ADVISORY COMMITTEE No. 24-12 OPERATIONS MEMBERS No. 10-12 TAAC FATCA TASK FORCE No. 14-12 TAX MEMBERS No. 43-12 TRANSFER AGENT ADVISORY COMMITTEE No. 79-12...

[26756] December 13, 2012 TO: BOARD OF GOVERNORS No. 14-12 ACCOUNTING/TREASURERS MEMBERS No. 20-12 CLOSED-END INVESTMENT COMPANY MEMBERS No. 82-12 COMPLIANCE MEMBERS No. 28-12 DERIVATIVES MARKETS ADVISORY COMMITTEE No. 70-12 ETF (EXCHANGE-TRADED FUNDS) COMMITTEE No. 44-12 ETF ADVISORY...

[26740] December 6, 2012 TO: TRANSFER AGENT ADVISORY COMMITTEE No. 77-12 RE: TRANSFER AGENT ADVISORY COMMITTEE MEETING NOTICE - FEBRUARY 6-7, 2013   The next meeting of the Transfer Agent Advisory Committee will be held on Wednesday, February 6 from 3:00 p.m. to 5:30 p.m. ET and...

[26728] November 28, 2012 TO: TRANSFER AGENT ADVISORY COMMITTEE No. 76-12 BROKER/DEALER ADVISORY COMMITTEE No. 65-12 BANK, TRUST AND RETIREMENT ADVISORY COMMITTEE No. 59-12 SECURITIES OPERATIONS ADVISORY GROUP RE: ICI SUBMITS LETTER TO NATIONAL FUTURES ASSOCIATION ON BYLAW 1101...