Transfer Agent Advisory Content

  [25046] March 25, 2011 TO: TRANSFER AGENT ADVISORY COMMITTEE No. 23-11 RE: NAUPA ADOPTS RESOLUTION RECOMMENDING STATES ADOPT NEW CODES FOR IRA AND 529 PLAN ACCOUNTS   As you may recall, the National Association of Unclaimed Property Administrators (NAUPA) created a working group to...

  [25040] March 23, 2011 TO: 529 PLAN MEMBERS No. 2-11 BANK, TRUST AND RECORDKEEPER ADVISORY COMMITTEE No. 18-11 BROKER/DEALER ADVISORY COMMITTEE No. 18-11 CLOSED-END INVESTMENT COMPANY MEMBERS No. 29-11 COMPLIANCE MEMBERS No. 21-11 INVESTMENT ADVISER MEMBERS No. 10-11 MUNICIPAL...

  [25035] March 21, 2011 TO: BROKER/DEALER ADVISORY COMMITTEE No. 17-11 CHIEF COMPLIANCE OFFICER COMMITTEE No. 7-11 INVESTMENT ADVISERS COMMITTEE No. 3-11 TRANSFER AGENT ADVISORY COMMITTEE No. 21-11 RE: SEC SEEKS COMMENT ON REQUIRING PAYMENT AGENTS TO PROVIDE NOTICE OF UNCASHED CHECKS...

[25021] March 11, 2011 TO: BDAC COST BASIS REPORTING TASK FORCE No. 6-11 BANK, TRUST AND RECORDKEEPER ADVISORY COMMITTEE No. 17-11 BROKER/DEALER ADVISORY COMMITTEE No. 15-11 OPERATIONS MEMBERS No. 8-11 TAX MEMBERS No. 5-11 SMALL FUNDS MEMBERS No. 27-11 TRANSFER AGENT ADVISORY...

  [25024] March 11, 2011 TO: AML COMPLIANCE WORKING GROUP No. 2-11 TRANSFER AGENT ADVISORY COMMITTEE No. 20-11 RE: LETTER FROM FINCEN TO ICI ON BENEFICIAL OWNERSHIP GUIDANCE   The Institute received a letter from the Financial Crimes Enforcement Network (“FinCEN”) providing an update...

  [25014] March 8, 2011 TO: BDAC COST BASIS REPORTING TASK FORCE No. 5-11 BANK, TRUST AND RECORDKEEPER ADVISORY COMMITTEE No. 16-11 BROKER/DEALER ADVISORY COMMITTEE No. 14-11 OPERATIONS COMMITTEE No. 9-11 SMALL FUNDS COMMITTEE No. 11-11 TAX COMMITTEE No. 12-11 TRANSFER AGENT ADVISORY...

  [25012] March 7, 2011 TO: TRANSFER AGENT ADVISORY COMMITTEE No. 17-11 RE: TRANSFER AGENT ADVISORY COMMITTEE MEETING NOTICE - MAY 3, 2011   The next meeting of the Transfer Agent Advisory Committee will be held on Tuesday, May 3 from 10:00 a.m. to 4:00 p.m. ET.  The meeting will take...

[24988] February 24, 2011 TO: BDAC COST BASIS REPORTING TASK FORCE No. 4-11 BANK, TRUST AND RECORDKEEPER ADVISORY COMMITTEE No. 15-11 BROKER/DEALER ADVISORY COMMITTEE No. 13-11 OPERATIONS MEMBERS No. 7-11 SMALL FUNDS MEMBERS No. 26-11 TAX MEMBERS No. 3-11 TRANSFER AGENT ADVISORY...

  [24974] February 18, 2011 TO: BANK, TRUST AND RECORDKEEPER ADVISORY COMMITTEE No. 12-11 BROKER/DEALER ADVISORY COMMITTEE No. 10-11 COMPLIANCE MEMBERS No. 17-11 OPERATIONS MEMBERS No. 6-11 SEC RULES MEMBERS No. 35-11 SMALL FUNDS MEMBERS No. 21-11 TRANSFER AGENT ADVISORY COMMITTEE No...

  [24971] February 17, 2011 TO: BDAC COST BASIS REPORTING TASK FORCE No. 3-11 BANK, TRUST AND RECORDKEEPER ADVISORY COMMITTEE No. 11-11 BROKER/DEALER ADVISORY COMMITTEE No. 9-11 OPERATIONS COMMITTEE No. 8-11 TAX COMMITTEE No. 7-11 TRANSFER AGENT ADVISORY COMMITTEE No. 14-11 RE...