Transfer Agent Advisory Content

  [24962] February 11, 2011 TO: PENSION MEMBERS No. 11-11 OPERATIONS COMMITTEE No. 7-11 BANK, TRUST AND RECORDKEEPER ADVISORY COMMITTEE No. 10-11 TRANSFER AGENT ADVISORY COMMITTEE No. 13-11 RE: DOL EXTENDS COMPLIANCE DEADLINE FOR SERVICE PROVIDER DISCLOSURE RULES TO JANUARY 1, 2012  ...

  [24939] February 3, 2011 TO: BANK, TRUST AND RECORDKEEPER ADVISORY COMMITTEE No. 9-11 BROKER/DEALER ADVISORY COMMITTEE No. 8-11 CLOSED-END INVESTMENT COMPANY COMMITTEE No. 8-11 ETF ADVISORY COMMITTEE No. 12-11 EQUITY MARKETS ADVISORY COMMITTEE No. 11-11 FIXED-INCOME ADVISORY...

[24934] February 2, 2011 TO: 529 PLAN ADVISORY COMMITTEE No. 1-11 BROKER/DEALER ADVISORY COMMITTEE No. 7-11 CLOSED-END INVESTMENT COMPANY MEMBERS No. 15-11 COMPLIANCE MEMBERS No. 10-11 INVESTMENT ADVISER MEMBERS No. 6-11 MUNICIPAL SECURITIES ADVISORY COMMITTEE No. 7-11 PENSION...

[24913] January 27, 2011 TO: ACCOUNTING/TREASURERS MEMBERS No. 1-11 BROKER/DEALER ADVISORY COMMITTEE No. 6-11 MONEY MARKET FUNDS ADVISORY COMMITTEE No. 6-11 MUNICIPAL SECURITIES ADVISORY COMMITTEE No. 5-11 OPERATIONS COMMITTEE No. 4-11 SEC RULES MEMBERS No. 20-11 SMALL FUNDS COMMITTEE...

  [24906] January 25, 2011 TO: TRANSFER AGENT ADVISORY COMMITTEE No. 9-11 RE: REMINDER OF THE UPCOMING COMPLIANCE DATES FOR THE SEC’S PAY-TO-PLAY RULE   This memorandum is to remind members of the upcoming compliance dates for the SEC’s pay-to-play rule, which was adopted in July 2010...

[24896] January 20, 2011 TO: TRANSFER AGENT ADVISORY COMMITTEE No. 8-11 RE: PRELIMINARY AGENDA FOR TAAC MEETING - FEBRUARY 2-3, 2011   The preliminary agenda for the next meeting of the Transfer Agent Advisory Committee (“TAAC”) is attached for your information.  The TAAC meeting will...

  [24890] January 19, 2011 TO: AML COMPLIANCE WORKING GROUP No. 1-11 TRANSFER AGENT ADVISORY COMMITTEE No. 7-11 RE: COMMENT LETTER ON CONSULTATION PAPER OF THE FINANCIAL ACTION TASK FORCE   On January 7, 2011, the Institute submitted comments on Consultation Paper: Review of the...

  [24877] January 14, 2011 TO: BROKER/DEALER ADVISORY COMMITTEE No. 5-11 BANK, TRUST AND RECORDKEEPER ADVISORY COMMITTEE No. 5-11 TAX MEMBERS No. 2-11 OPERATIONS MEMBERS No. 2-11 TRANSFER AGENT ADVISORY COMMITTEE No. 5-11 SMALL FUNDS MEMBERS No. 5-11 RE: ICI LETTER TO IRS AND TREASURY...

  [24878] January 14, 2011 TO: PENSION MEMBERS No. 5-11 SEC RULES MEMBERS No. 8-11 ADVERTISING COMPLIANCE ADVISORY COMMITTEE No. 2-11 TRANSFER AGENT ADVISORY COMMITTEE No. 6-11 BANK, TRUST AND RECORDKEEPER ADVISORY COMMITTEE No. 6-11 OPERATIONS COMMITTEE No. 3-11 RE: ICI FILES COMMENT...

  [24874] January 13, 2011 TO: BANK, TRUST AND RECORDKEEPER ADVISORY COMMITTEE No. 3-11 BROKER/DEALER ADVISORY COMMITTEE No. 3-11 COMPLIANCE MEMBERS No. 4-11 PENSION MEMBERS No. 2-11 TRANSFER AGENT ADVISORY COMMITTEE No. 3-11 RE: SCHEDULE OF 2011 CALLS TO DISCUSS OPERATIONAL ISSUES...