Transfer Agent Advisory Content

[25962] March 5, 2012 TO: CHIEF COMPLIANCE OFFICER COMMITTEE No. 3-12 INVESTMENT ADVISER MEMBERS No. 2-12 TRANSFER AGENT ADVISORY COMMITTEE No. 16-12 RE: 529 PLANS AND THE SEC’S PAY-TO-PLAY RULE   As you may recall, last September the Institute was successful in obtaining no-action...

  [25961] March 5, 2012 TO: OPERATIONS COMMITTEE No. 7-12 SEC RULES COMMITTEE No. 15-12 SMALL FUNDS COMMITTEE No. 6-12 TRANSFER AGENT ADVISORY COMMITTEE No. 15-12 RE: SEC PROPOSES FOR COMMENT "RED FLAG" RULES AS REQUIRED BY THE DODD-FRANK ACT; ICI REQUESTS COMMENTS BY MONDAY, APRIL...

[25960] March 5, 2012 TO: AML COMPLIANCE WORKING GROUP No. 3-12 TRANSFER AGENT ADVISORY COMMITTEE No. 14-12 BROKER/DEALER ADVISORY COMMITTEE No. 13-12 BANK, TRUST AND RETIREMENT ADVISORY COMMITTEE No. 10-12 RE: FINCEN'S ADVANCE NOTICE OF PROPOSED RULEMAKING ON POSSIBLE CUSTOMER DUE...

  [25950] March 1, 2012 TO: PENSION MEMBERS No. 14-12 BANK, TRUST AND RETIREMENT ADVISORY COMMITTEE No. 9-12 BROKER/DEALER ADVISORY COMMITTEE No. 12-12 TRANSFER AGENT ADVISORY COMMITTEE No. 12-12 RE: FAA MODERNIZATION ACT EXPANDS IRA ROLLOVER OPPORTUNITIES FOR AIRLINE EMPLOYEES WHO...

[25953] March 1, 2012 TO: TRANSFER AGENT ADVISORY COMMITTEE No. 13-12 RE: FATF PUBLISHES REVISED RECOMMENDATIONS   On February 16, 2012, the Financial Action Task Force (“FATF”) published revised Recommendations following two years of consideration by member countries (...

[25939] February 28, 2012 TO: BANK, TRUST AND RETIREMENT ADVISORY COMMITTEE No. 8-12 BROKER/DEALER ADVISORY COMMITTEE No. 11-12 TRANSFER AGENT ADVISORY COMMITTEE No. 11-12 PENSION MEMBERS No. 12-12 TAX MEMBERS No. 11-12 RE: DC REVISES MANDATORY RETIREMENT DISTRIBUTION WITHHOLDING LAW...

[25897] February 14, 2012 TO: TAX MEMBERS No. 9-12 INTERNATIONAL MEMBERS No. 7-12 INTERNATIONAL OPERATIONS ADVISORY COMMITTEE No. 5-12 TRANSFER AGENT ADVISORY COMMITTEE No. 10-12 BROKER/DEALER ADVISORY COMMITTEE No. 8-12 RE: PROPOSED FATCA REGULATIONS - A SUMMARY INTRODUCTION The...

  [25883] February 8, 2012 TO: BDAC COST BASIS REPORTING TASK FORCE No. 2-12 BANK, TRUST AND RETIREMENT ADVISORY COMMITTEE No. 7-12 BROKER/DEALER ADVISORY COMMITTEE No. 6-12 OPERATIONS COMMITTEE No. 5-12 SMALL FUNDS COMMITTEE No. 3-12 TAX COMMITTEE No. 10-12 TRANSFER AGENT ADVISORY...

[25886] February 8, 2012 TO: TAX MEMBERS No. 7-12 INTERNATIONAL MEMBERS No. 5-12 INTERNATIONAL OPERATIONS ADVISORY COMMITTEE No. 3-12 TRANSFER AGENT ADVISORY COMMITTEE No. 9-12 BROKER/DEALER ADVISORY COMMITTEE No. 7-12 RE: PROPOSED FATCA REGULATIONS ISSUED; DETAILED ANALYSIS TO FOLLOW...

ACTION REQUESTED [25875] February 7, 2012 TO: PENSION COMMITTEE No. 6-12 PENSION OPERATIONS ADVISORY COMMITTEE No. 6-12 OPERATIONS COMMITTEE No. 4-12 BANK, TRUST AND RETIREMENT ADVISORY COMMITTEE No. 6-12 BROKER/DEALER ADVISORY COMMITTEE No. 5-12 TRANSFER AGENT ADVISORY COMMITTEE No...