Transfer Agent Advisory Content

[26228] June 11, 2012 TO: BANK, TRUST AND RETIREMENT ADVISORY COMMITTEE No. 24-12 BROKER/DEALER ADVISORY COMMITTEE No. 27-12 COMPLIANCE MEMBERS No. 8-12 INVESTMENT ADVISER MEMBERS No. 13-12 OPERATIONS MEMBERS No. 2-12 SMALL FUNDS MEMBERS No. 18-12 TRANSFER AGENT ADVISORY COMMITTEE No...

[26230] June 11, 2012 TO: BANK, TRUST AND RETIREMENT ADVISORY COMMITTEE No. 25-12 BROKER/DEALER ADVISORY COMMITTEE No. 28-12 TRANSFER AGENT ADVISORY COMMITTEE No. 36-12 RE: CALIFORNIA REMINDS HOLDERS OF ABANDONED PROPERTY TO FILE THEIR REQUIRED REMITTANCE REPORTS BY JUNE 15TH  ...

[26224] June 7, 2012 TO: TAX MEMBERS No. 24-12 INTERNATIONAL MEMBERS No. 21-12 OPERATIONS COMMITTEE No. 18-12 TRANSFER AGENT ADVISORY COMMITTEE No. 34-12 TAAC FATCA TASK FORCE No. 1-12 INTERNATIONAL OPERATIONS ADVISORY COMMITTEE No. 14-12 RE: IRS RELEASES DRAFT INVESTOR CERTIFICATION...

  [26210] June 1, 2012 TO: TRANSFER AGENT ADVISORY COMMITTEE No. 33-12 RE: TRANSFER AGENT ADVISORY COMMITTEE MEETING NOTICE - JULY 18-19, 2012   The next meeting of the Transfer Agent Advisory Committee will be held on Wednesday, July 18 from 3:00 p.m. to 5:30 p.m. ET and Thursday...

  [26206] May 29, 2012 TO: BDAC COST BASIS REPORTING TASK FORCE No. 9-12 BANK, TRUST AND RETIREMENT ADVISORY COMMITTEE No. 23-12 BROKER/DEALER ADVISORY COMMITTEE No. 24-12 OPERATIONS COMMITTEE No. 17-12 SMALL FUNDS COMMITTEE No. 17-12 TAAC COST BASIS REPORTING TASK FORCE No. 6-12 TAX...

  [26151] May 8, 2012 TO: BDAC COST BASIS REPORTING TASK FORCE No. 8-12 BANK, TRUST AND RETIREMENT ADVISORY COMMITTEE No. 21-12 BROKER/DEALER ADVISORY COMMITTEE No. 23-12 OPERATIONS COMMITTEE No. 16-12 SMALL FUNDS COMMITTEE No. 15-12 TAAC COST BASIS REPORTING TASK FORCE No. 5-12 TAX...

[26148] May 7, 2012 TO: AML COMPLIANCE WORKING GROUP No. 4-12 TRANSFER AGENT ADVISORY COMMITTEE No. 30-12 BROKER/DEALER ADVISORY COMMITTEE No. 22-12 BANK, TRUST AND RETIREMENT ADVISORY COMMITTEE No. 20-12 OPERATIONS COMMITTEE No. 15-12 RE: ICI COMMENT LETTER ON FINCEN'S ADVANCE NOTICE...

[26122] May 1, 2012 TO: TRANSFER AGENT ADVISORY COMMITTEE No. 29-12 RE: MAY 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 fund...

[26120] May 1, 2012 TO: OPERATIONS MEMBERS No. 1-12 SEC RULES MEMBERS No. 34-12 SMALL FUNDS MEMBERS No. 12-12 TRANSFER AGENT ADVISORY COMMITTEE No. 28-12 RE: ICI FILES COMMENT LETTER WITH SEC ON PROPOSED "RED FLAG" IDENTITY THEFT RULES   As you may recall, the Dodd-Frank Act (“DFA”)...

[26096] April 30, 2012 TO: TAX MEMBERS No. 21-12 INTERNATIONAL MEMBERS No. 15-12 ETF (EXCHANGE-TRADED FUNDS) COMMITTEE No. 11-12 INTERNATIONAL OPERATIONS ADVISORY COMMITTEE No. 13-12 TRANSFER AGENT ADVISORY COMMITTEE No. 27-12 BROKER/DEALER ADVISORY COMMITTEE No. 21-12 RE: ICI...