Transfer Agent Advisory Content

February 7, 2012: This memo has been deleted. A replacement will be issued shortly.

  [25860] February 1, 2012 TO: TRANSFER AGENT ADVISORY COMMITTEE No. 5-12 RE: FEBRUARY 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...

  [25857] January 31, 2012 TO: TRANSFER AGENT ADVISORY COMMITTEE No. 4-12 RE: 408(B)(2) FINAL REGULATION MAY COME IN TWO PARTS   Based on the update the Department of Labor just published of its Fall 2011 Regulatory Agenda, [1] it appears that the Department intends to finalize the...

[25839] January 26, 2012 TO: TRANSFER AGENT ADVISORY COMMITTEE No. 3-12 RE: PRELIMINARY AGENDA FOR TAAC MEETING - FEBRUARY 8-9, 2012   The preliminary agenda for the next meeting of the Transfer Agent Advisory Committee (“TAAC”) is attached for your information.  The TAAC meeting will...

ACTION REQUESTED [25784] January 10, 2012 TO: BANK, TRUST AND RETIREMENT ADVISORY COMMITTEE No. 2-12 BROKER/DEALER ADVISORY COMMITTEE No. 2-12 TAX COMMITTEE No. 5-12 TRANSFER AGENT ADVISORY COMMITTEE No. 2-12 PENSION COMMITTEE No. 2-12 PENSION OPERATIONS ADVISORY COMMITTEE No. 2-12 RE...

[25781] January 10, 2012 TO: BDAC COST BASIS REPORTING TASK FORCE No. 1-12 BANK, TRUST AND RETIREMENT ADVISORY COMMITTEE No. 1-12 BROKER/DEALER ADVISORY COMMITTEE No. 1-12 OPERATIONS COMMITTEE No. 1-12 SMALL FUNDS COMMITTEE No. 1-12 TAX COMMITTEE No. 4-12 TRANSFER AGENT ADVISORY...

[25733] December 21, 2011 TO: BDAC COST BASIS REPORTING TASK FORCE No. 41-11 BANK, TRUST AND RETIREMENT ADVISORY COMMITTEE No. 80-11 BROKER/DEALER ADVISORY COMMITTEE No. 85-11 OPERATIONS COMMITTEE No. 53-11 SMALL FUNDS COMMITTEE No. 56-11 TAX COMMITTEE No. 79-11 TRANSFER AGENT...

[25720] December 16, 2011 TO: OPERATIONS COMMITTEE No. 52-11 TRANSFER AGENT ADVISORY COMMITTEE No. 104-11 SMALL FUNDS COMMITTEE No. 55-11 COMPLIANCE MEMBERS No. 46-11 RE: SEC PAY-TO-PLAY RULE - SUPPLEMENTAL IMPLEMENTATION GUIDANCE TO REFLECT NO-ACTION RELIEF GRANTED TO ICI   On August...

[25703] December 9, 2011 TO: PENSION MEMBERS No. 65-11 OPERATIONS MEMBERS No. 24-11 BANK, TRUST AND RETIREMENT ADVISORY COMMITTEE No. 78-11 TRANSFER AGENT ADVISORY COMMITTEE No. 103-11 RE: DOL CLARIFIES INTERIM E-DISCLOSURE POLICY UNDER PARTICIPANT FEE DISCLOSURE REGULATION   On...

  [25694] December 8, 2011 TO: BDAC COST BASIS REPORTING TASK FORCE No. 40-11 BANK, TRUST AND RETIREMENT ADVISORY COMMITTEE No. 77-11 BROKER/DEALER ADVISORY COMMITTEE No. 83-11 OPERATIONS COMMITTEE No. 51-11 SMALL FUNDS COMMITTEE No. 54-11 TAX COMMITTEE No. 77-11 TRANSFER AGENT...