Transfer Agent Advisory Content

[25450] August 31, 2011 TO: PENSION MEMBERS No. 46-11 BANK, TRUST AND RECORDKEEPER ADVISORY COMMITTEE No. 51-11 TRANSFER AGENT ADVISORY COMMITTEE No. 71-11 TECHNOLOGY COMMITTEE No. 8-11 PRIVACY ISSUES WORKING GROUP No. 4-11 RE: ICI WRITTEN STATEMENT TO ERISA ADVISORY COUNCIL ON...

  [25443] August 30, 2011 TO: BDAC COST BASIS REPORTING TASK FORCE No. 23-11 BANK, TRUST AND RECORDKEEPER ADVISORY COMMITTEE No. 50-11 BROKER/DEALER ADVISORY COMMITTEE No. 53-11 OPERATIONS COMMITTEE No. 31-11 SMALL FUNDS COMMITTEE No. 34-11 TAX COMMITTEE No. 52-11 TRANSFER AGENT...

[25433] August 24, 2011 TO: TRANSFER AGENT ADVISORY COMMITTEE No. 69-11 RE: TRANSFER AGENT ADVISORY COMMITTEE MEETING NOTICE - OCTOBER 26-27, 2011   The next meeting of the Transfer Agent Advisory Committee will be held on Wednesday, October 26 from 3:00 p.m. to 5:00 p.m. ET and...

    [25422]   August 18, 2011 TO: BDAC COST BASIS REPORTING TASK FORCE No. 22-11 BROKER/DEALER ADVISORY COMMITTEE No. 50-11 BANK, TRUST AND RECORDKEEPER ADVISORY COMMITTEE No. 48-11 OPERATIONS COMMITTEE No. 30-11 SMALL FUNDS COMMITTEE No. 32-11 TAX COMMITTEE No. 51-11 TRANSFER AGENT...

  [25423] August 18, 2011 TO: BROKER/DEALER ADVISORY COMMITTEE No. 51-11 TRANSFER AGENT ADVISORY COMMITTEE No. 68-11 RE: UPDATE ON FINRA PROPOSAL TO REQUIRE THE ISSUANCE OF MONTHLY ACCOUNT STATEMENTS   As you may recall, in May 2009, FINRA proposed a new rule, Rule 2231, relating to...

  [25416] August 16, 2011 TO: COMPLIANCE MEMBERS No. 37-11 OPERATIONS COMMITTEE No. 29-11 OPERATIONS MEMBERS No. 19-11 PRIMARY CONTACTS - MEMBER COMPLEX No. 4-11 SMALL FUNDS COMMITTEE No. 31-11 TRANSFER AGENT ADVISORY COMMITTEE No. 66-11 RE: ICI SUBMISSION TO SEC STAFF REQUESTING AN...

  [25398] August 9, 2011 TO: OPERATIONS COMMITTEE No. 28-11 OPERATIONS MEMBERS No. 18-11 TRANSFER AGENT ADVISORY COMMITTEE No. 65-11 SMALL FUNDS COMMITTEE No. 30-11 SMALL FUNDS MEMBERS No. 56-11 COMPLIANCE MEMBERS No. 36-11 RE: SEC PAY-TO-PLAY RULE - SUGGESTED PROCESS FOR COMPILING...

  ACTION REQUESTED [25387] August 5, 2011 TO: BANK, TRUST AND RECORDKEEPER ADVISORY COMMITTEE No. 45-11 BROKER/DEALER ADVISORY COMMITTEE No. 47-11 TRANSFER AGENT ADVISORY COMMITTEE No. 64-11 RE: REQUEST FOR COST INFORMATION ASSOCIATED WITH LOST AND MISSING SECURITY HOLDERS; INPUT...

  [25380] August 3, 2011 TO: COMPLIANCE MEMBERS No. 35-11 OPERATIONS MEMBERS No. 17-11 TRANSFER AGENT ADVISORY COMMITTEE No. 63-11     RE: AUGUST 31ST CALL TO DISCUSS NEW FINRA RULE REQUIRING REGISTRATION OF OPERATIONS PROFESSIONALS   As you may know, the SEC recently approved...

  [25379] August 3, 2011 TO: TRANSFER AGENT ADVISORY COMMITTEE No. 62-11 RE: FATF CONSULTATION - SECOND PHASE OF THE REVIEW OF THE RECOMMENDATIONS   On June 27, 2011, the Financial Action Task Force (“FATF”) issued a Consultation Paper (the “June Paper”) for a second phase of their...