Transfer Agent Advisory Content

[26367] August 6, 2012 TO: BROKER/DEALER ADVISORY COMMITTEE No. 36-12 TRANSFER AGENT ADVISORY COMMITTEE No. 46-12 RE: FINRA WITHDRAWALS FROM FURTHER CONSIDERATION PROPOSAL TO REQUIRE THE ISSUANCE OF MONTHLY ACCOUNT STATEMENTS   I am pleased to inform you that FINRA has withdrawn from...

[26344] July 26, 2012 TO: TAX MEMBERS No. 29-12 INTERNATIONAL MEMBERS No. 31-12 OPERATIONS MEMBERS No. 3-12 BROKER/DEALER ADVISORY COMMITTEE No. 35-12 BANK, TRUST AND RETIREMENT ADVISORY COMMITTEE No. 33-12 TRANSFER AGENT ADVISORY COMMITTEE No. 45-12 TAAC FATCA TASK FORCE No. 2-12 RE...

[26338] July 25, 2012 TO: BDAC COST BASIS REPORTING TASK FORCE No. 11-12 BANK, TRUST AND RETIREMENT ADVISORY COMMITTEE No. 32-12 BROKER/DEALER ADVISORY COMMITTEE No. 34-12 OPERATIONS COMMITTEE No. 22-12 SMALL FUNDS COMMITTEE No. 21-12 TAAC COST BASIS REPORTING TASK FORCE No. 8-12 TAX...

[26309] July 17, 2012 TO: TRANSFER AGENT ADVISORY COMMITTEE No. 43-12 RE: JULY 2012 - REGULATORY ACTIONS MATRIX QUARTERLY UPDATE   The updated Regulatory Actions Matrix (“RAM”) is attached for your information.  The RAM provides high level information on regulatory actions impacting...

[26300] July 13, 2012 TO: AML COMPLIANCE WORKING GROUP No. 6-12 TRANSFER AGENT ADVISORY COMMITTEE No. 42-12 BROKER/DEALER ADVISORY COMMITTEE No. 33-12 BANK, TRUST AND RETIREMENT ADVISORY COMMITTEE No. 30-12 RE: FINCEN HEARING (JULY 31) ON PROPOSED RULEMAKING REGARDING CUSTOMER DUE...

[26281] July 2, 2012 TO: TRANSFER AGENT ADVISORY COMMITTEE No. 41-12 RE: PRELIMINARY AGENDA FOR TAAC MEETING - JULY 18 - 19, 2012   The preliminary agenda and shop talk discussion topics for the next meeting of the Transfer Agent Advisory Committee (“TAAC”) are attached for your...

  [26258] June 22, 2012 TO: BANK, TRUST AND RETIREMENT ADVISORY COMMITTEE No. 29-12 BROKER/DEALER ADVISORY COMMITTEE No. 32-12 OPERATIONS COMMITTEE No. 20-12 TRANSFER AGENT ADVISORY COMMITTEE No. 40-12 RE: ICI STUDY ON OPERATIONAL IMPACTS OF PROPOSED REDEMPTION RESTRICTIONS ON MONEY...

[26255] June 21, 2012 TO: BANK, TRUST AND RETIREMENT ADVISORY COMMITTEE No. 28-12 BROKER/DEALER ADVISORY COMMITTEE No. 31-12 TAX COMMITTEE No. 33-12 TRANSFER AGENT ADVISORY COMMITTEE No. 39-12 PENSION MEMBERS No. 25-12 RE: DC TARGETED RETIREMENT DISTRIBUTION WITHHOLDING TEMPORARY ACT...

  [26248] June 20, 2012 TO: BDAC COST BASIS REPORTING TASK FORCE No. 10-12 BANK, TRUST AND RETIREMENT ADVISORY COMMITTEE No. 27-12 BROKER/DEALER ADVISORY COMMITTEE No. 30-12 OPERATIONS COMMITTEE No. 19-12 SMALL FUNDS COMMITTEE No. 18-12 TAAC COST BASIS REPORTING TASK FORCE No. 7-12...

[26235] June 13, 2012 TO: BANK, TRUST AND RETIREMENT ADVISORY COMMITTEE No. 26-12 BROKER/DEALER ADVISORY COMMITTEE No. 29-12 SEC RULES MEMBERS No. 50-12 SMALL FUNDS MEMBERS No. 19-12 TRANSFER AGENT ADVISORY COMMITTEE No. 37-12 RE: INTERPRETATION OF "DORMANCY" FOR PURPOSES OF DELAWARE...