Transfer Agent Advisory Content

[25367] July 29, 2011 TO: PENSION MEMBERS No. 42-11 TAX MEMBERS No. 26-11 OPERATIONS MEMBERS No. 16-11 TRANSFER AGENT ADVISORY COMMITTEE No. 61-11 PRIVACY ISSUES WORKING GROUP No. 3-11 RE: ICI FILES COMMENT LETTER SUPPORTING IRS TIN MASKING PILOT PROGRAM   On July 29, the ICI filed...

[25364] July 28, 2011 TO: BDAC COST BASIS REPORTING TASK FORCE No. 21-11 BANK, TRUST AND RECORDKEEPER ADVISORY COMMITTEE No. 44-11 BROKER/DEALER ADVISORY COMMITTEE No. 45-11 OPERATIONS MEMBERS No. 15-11 SMALL FUNDS MEMBERS No. 53-11 TAX MEMBERS No. 25-11 TRANSFER AGENT ADVISORY...

  [25359] July 28, 2011 TO: BDAC COST BASIS REPORTING TASK FORCE No. 20-11 BANK, TRUST AND RECORDKEEPER ADVISORY COMMITTEE No. 43-11 BROKER/DEALER ADVISORY COMMITTEE No. 44-11 OPERATIONS COMMITTEE No. 27-11 SMALL FUNDS COMMITTEE No. 29-11 TAX COMMITTEE No. 46-11 TRANSFER AGENT...

  [25345] July 21, 2011 TO: TRANSFER AGENT ADVISORY COMMITTEE No. 58-11 RE: JULY 2011 - REGULATORY ACTIONS MATRIX   The updated Regulatory Actions Matrix (“RAM”) is attached for your information. The RAM provides high level information on regulatory actions impacting fund transfer...

[25337] July 15, 2011 TO: PENSION COMMITTEE No. 23-11 PENSION OPERATIONS ADVISORY COMMITTEE No. 17-11 TAX COMMITTEE No. 44-11 OPERATIONS COMMITTEE No. 26-11 TRANSFER AGENT ADVISORY COMMITTEE No. 57-11 PRIVACY ISSUES WORKING GROUP No. 2-11 RE: DRAFT COMMENT LETTER ON EXTENSION OF IRS...

[25334] July 14, 2011 TO: BDAC COST BASIS REPORTING TASK FORCE No. 19-11 BANK, TRUST AND RECORDKEEPER ADVISORY COMMITTEE No. 42-11 BROKER/DEALER ADVISORY COMMITTEE No. 43-11 OPERATIONS COMMITTEE No. 25-11 SMALL FUNDS COMMITTEE No. 27-11 TAX COMMITTEE No. 43-11 TRANSFER AGENT ADVISORY...

[25330] July 14, 2011 TO: PENSION MEMBERS No. 40-11 OPERATIONS MEMBERS No. 14-11 BANK, TRUST AND RECORDKEEPER ADVISORY COMMITTEE No. 41-11 TRANSFER AGENT ADVISORY COMMITTEE No. 55-11 RE: DOL FINALIZES EXTENSION OF 408(b)(2) AND PARTICIPANT DISCLOSURE RULES   DOL issued a final...

[25335] July 14, 2011 TO: TAX MEMBERS No. 22-11 INTERNATIONAL MEMBERS No. 30-11 RE: IRS NOTICE ON TIMELINE FOR IMPLEMENTING FATCA The Internal Revenue Service (“IRS”) today issued the attached notice (Notice 2011-53) providing a modified timeline for implementing the so-called “FATCA”...

[25320] July 11, 2011 TO: BANK, TRUST AND RECORDKEEPER ADVISORY COMMITTEE No. 40-11 BROKER/DEALER ADVISORY COMMITTEE No. 42-11 COMPLIANCE MEMBERS No. 30-11 TRANSFER AGENT ADVISORY COMMITTEE No. 53-11 RE: FINRA FINES BROKER-DEALER FOR FAILURE TO TIMELY PROVIDE MUTUAL FUND SHAREHOLDERS...

[25321] July 11, 2011 TO: TRANSFER AGENT ADVISORY COMMITTEE No. 54-11 RE: PRELIMINARY AGENDA FOR TAAC MEETING - JULY 20-21, 2011   The preliminary agenda for the next meeting of the Transfer Agent Advisory Committee (“TAAC”) is attached for your information.  The TAAC meeting will...