Transfer Agent Advisory Content

[25253] June 6, 2011 TO: COMPLIANCE MEMBERS No. 26-11 INTERNAL AUDIT ADVISORY COMMITTEE No. 5-11 RISK MANAGEMENT ADVISORY COMMITTEE No. 4-11 RISK MANAGEMENT COMMITTEE No. 7-11 SEC RULES COMMITTEE No. 58-11 SMALL FUNDS MEMBERS No. 37-11 RE: SEC ADOPTS WHISTLEBLOWER RULES...

  [25249] June 3, 2011 TO: 529 PLAN MEMBERS No. 3-11 ACCOUNTING/TREASURERS MEMBERS No. 12-11 INTERNATIONAL MEMBERS No. 22-11 TAX MEMBERS No. 12-11 TRANSFER AGENT ADVISORY COMMITTEE No. 42-11 RE: IRS 2011-12 GUIDANCE PRIORITY LIST   The ICI submitted the attached letter recommending...

  [25237] June 1, 2011 TO: PENSION MEMBERS No. 26-11 OPERATIONS MEMBERS No. 11-11 BANK, TRUST AND RECORDKEEPER ADVISORY COMMITTEE No. 31-11 TRANSFER AGENT ADVISORY COMMITTEE No. 41-11 RE: DOL PROPOSES EXTENSION OF 408(b)(2) AND PARTICIPANT DISCLOSURE RULES   The Department of Labor...

  [25236] June 1, 2011 TO: BDAC COST BASIS REPORTING TASK FORCE No. 12-11 BANK, TRUST AND RECORDKEEPER ADVISORY COMMITTEE No. 30-11 BROKER/DEALER ADVISORY COMMITTEE No. 31-11 OPERATIONS COMMITTEE No. 19-11 SMALL FUNDS COMMITTEE No. 22-11 TAX COMMITTEE No. 33-11 TRANSFER AGENT ADVISORY...

ACTION REQUESTED [25234] May 31, 2011 TO: TAX COMMITTEE No. 32-11 INTERNATIONAL COMMITTEE No. 14-11 INTERNATIONAL OPERATIONS ADVISORY COMMITTEE No. 9-11 TRANSFER AGENT ADVISORY COMMITTEE No. 39-11 BROKER/DEALER ADVISORY COMMITTEE No. 30-11 RE: DRAFT ICI COMMENT LETTER ON FATCA --...

  [25220] May 24, 2011 TO: TRANSFER AGENT ADVISORY COMMITTEE No. 38-11 RE: TRANSFER AGENT ADVISORY COMMITTEE MEETING NOTICE - JULY 20-21, 2011   The next meeting of the Transfer Agent Advisory Committee will be held on Wednesday, July 20 from 3:00 p.m. to 5:00 p.m. ET and Thursday...

[25195] May 18, 2011 TO: TRANSFER AGENT ADVISORY COMMITTEE No. 35-11 RE: TAAC REGULATORY ACTIONS MATRIX   The Transfer Agent Advisory Committee (“TAAC”) established a task force, chaired by Mary Corcoran of Invesco Investment Services, to develop a matrix of regulatory actions that...

[25197] May 18, 2011 TO: OPERATIONS COMMITTEE No. 18-11 TRANSFER AGENT ADVISORY COMMITTEE No. 37-11 BANK, TRUST AND RECORDKEEPER ADVISORY COMMITTEE No. 29-11 BROKER/DEALER ADVISORY COMMITTEE No. 28-11 TAX COMMITTEE No. 29-11 RE: COST BASIS REPORTING - SHAREHOLDER COMMUNICATIONS...

[25194] May 18, 2011 TO: BDAC COST BASIS REPORTING TASK FORCE No. 10-11 BROKER/DEALER ADVISORY COMMITTEE No. 26-11 BANK, TRUST AND RECORDKEEPER ADVISORY COMMITTEE No. 27-11 OPERATIONS COMMITTEE No. 16-11 SMALL FUNDS COMMITTEE No. 20-11 TAX COMMITTEE No. 28-11 TRANSFER AGENT ADVISORY...

[25191] May 17, 2011 TO: BANK, TRUST AND RECORDKEEPER ADVISORY COMMITTEE No. 26-11 BROKER/DEALER ADVISORY COMMITTEE No. 25-11 CLOSED-END INVESTMENT COMPANY COMMITTEE No. 27-11 ETF ADVISORY COMMITTEE No. 33-11 EQUITY MARKETS ADVISORY COMMITTEE No. 23-11 FIXED-INCOME ADVISORY COMMITTEE...