Transfer Agent Advisory Content

  [24875] January 13, 2011 TO: 529 PLAN MEMBERS No. 1-11 BANK, TRUST AND RECORDKEEPER ADVISORY COMMITTEE No. 4-11 BROKER/DEALER ADVISORY COMMITTEE No. 4-11 COMPLIANCE MEMBERS No. 5-11 INVESTMENT ADVISER MEMBERS No. 2-11 PENSION MEMBERS No. 3-11 SEC RULES MEMBERS No. 6-11 SMALL FUNDS...

[24863] January 11, 2011 TO: TAX COMMITTEE No. 3-11 SMALL FUNDS COMMITTEE No. 3-11 OPERATIONS COMMITTEE No. 2-11 COMPLIANCE ADVISORY COMMITTEE No. 2-11 BROKER/DEALER ADVISORY COMMITTEE No. 2-11 BANK, TRUST AND RECORDKEEPER ADVISORY COMMITTEE No. 2-11 TRANSFER AGENT ADVISORY COMMITTEE...

  [24844] January 7, 2011 TO: BANK, TRUST AND RECORDKEEPER ADVISORY COMMITTEE No. 1-11 BDAC COST BASIS REPORTING TASK FORCE No. 1-11 BROKER/DEALER ADVISORY COMMITTEE No. 1-11 SMALL FUNDS COMMITTEE No. 1-11 TAX COMMITTEE No. 1-11 TRANSFER AGENT ADVISORY COMMITTEE No. 1-11 OPERATIONS...

[24814] December 23, 2010 TO: BROKER/DEALER ADVISORY COMMITTEE No. 64-10 INVESTMENT COMPANY DIRECTORS No. 35-10 OPERATIONS COMMITTEE No. 43-10 SEC RULES COMMITTEE No. 67-10 SMALL FUNDS COMMITTEE No. 34-10 TRANSFER AGENT ADVISORY COMMITTEE No. 87-10 RE: ICI FILES COMMENT LETTER WITH...

    [24809]   December 21, 2010 TO: ACCOUNTING/TREASURERS MEMBERS No. 46-10 BROKER/DEALER ADVISORY COMMITTEE No. 63-10 MONEY MARKET FUNDS ADVISORY COMMITTEE No. 68-10 MUNICIPAL SECURITIES ADVISORY COMMITTEE No. 53-10 OPERATIONS COMMITTEE No. 42-10 SEC RULES MEMBERS No. 140-10 SMALL...

  [24793]   December 15, 2010 TO: AML COMPLIANCE WORKING GROUP No. 19-10 TRANSFER AGENT ADVISORY COMMITTEE No. 85-10 RE: ICI COMMENT LETTER ON BSA-SAR DATABASE PROPOSED DATA FIELDS   On December 14th, ICI submitted a letter to Financial Crimes Enforcement Network (“FinCEN”) in...

    [24778]   December 10, 2010 TO: BROKER/DEALER ADVISORY COMMITTEE No. 62-10 INVESTMENT COMPANY DIRECTORS No. 31-10 OPERATIONS COMMITTEE No. 41-10 SEC RULES COMMITTEE No. 64-10 SMALL FUNDS COMMITTEE No. 29-10 TRANSFER AGENT ADVISORY COMMITTEE No. 84-10 RE: ICI DRAFT LETTER ON FINRA...

  [24773]   December 9, 2010 TO: BANK, TRUST AND RECORDKEEPER ADVISORY COMMITTEE No. 53-10 BROKER/DEALER ADVISORY COMMITTEE No. 61-10 CLOSED-END INVESTMENT COMPANY COMMITTEE No. 28-10 ETF ADVISORY COMMITTEE No. 53-10 EQUITY MARKETS ADVISORY COMMITTEE No. 51-10 FIXED-INCOME ADVISORY...

[24767] December 8, 2010 TO: TRANSFER AGENT ADVISORY COMMITTEE No. 82-10 RE: FORM LETTER MEMBERS MAY USE TO OBTAIN LIST OF GOVERNMENT CLIENTS FROM INTERMEDIARIES UNDER THE SEC’S PAY-TO-PLAY RULE   As you may know, since the SEC’s adoption of the pay-to-play rules last July, the...

    [24760]   December 2, 2010 TO: ACCOUNTING/TREASURERS COMMITTEE No. 15-10 BROKER/DEALER ADVISORY COMMITTEE No. 59-10 MONEY MARKET FUNDS ADVISORY COMMITTEE No. 65-10 MUNICIPAL SECURITIES ADVISORY COMMITTEE No. 50-10 OPERATIONS COMMITTEE No. 39-10 SEC RULES MEMBERS No. 132-10 SMALL...