Transfer Agent Advisory Content

    [24754]   December 2, 2010 TO: PENSION MEMBERS No. 57-10 SEC RULES MEMBERS No. 131-10 SMALL FUNDS MEMBERS No. 79-10 ADVERTISING COMPLIANCE ADVISORY COMMITTEE No. 6-10 TRANSFER AGENT ADVISORY COMMITTEE No. 79-10 BANK, TRUST AND RECORDKEEPER ADVISORY COMMITTEE No. 51-10 OPERATIONS...

    [24758]   December 2, 2010 TO: TRANSFER AGENT ADVISORY COMMITTEE No. 80-10 RE: TRANSFER AGENT ADVISORY COMMITTEE MEETING NOTICE - FEBRUARY 2-3, 2011   The next meeting of the Transfer Agent Advisory Committee will be held on Wednesday, February 2 from 3:00 p.m. to 5:30 p.m. ET and...

[24752] December 1, 2010 TO: ACCOUNTING/TREASURERS MEMBERS No. 39-10 BANK, TRUST AND RECORDKEEPER ADVISORY COMMITTEE No. 50-10 BOARD OF GOVERNORS No. 11-10 BROKER/DEALER ADVISORY COMMITTEE No. 57-10 INVESTMENT COMPANY DIRECTORS No. 29-10 MONEY MARKET FUNDS ADVISORY COMMITTEE No. 64-10...

  [24748]   November 30, 2010 TO: TRANSFER AGENT ADVISORY COMMITTEE No. 77-10 RE: FINCEN ISSUES FINAL RULE ON SAR CONFIDENTIALITY AND GUIDANCE PERMITTING SHARING SARS WITH CERTAIN AFFILIATES   On November 23rd, the Financial Crimes Enforcement Network (“FinCEN”) released a final rule...

  [24702]   November 11, 2010 TO: PENSION MEMBERS No. 49-10 TRANSFER AGENT ADVISORY COMMITTEE No. 76-10 BANK, TRUST AND RECORDKEEPER ADVISORY COMMITTEE No. 49-10 BROKER/DEALER ADVISORY COMMITTEE No. 56-10 OPERATIONS COMMITTEE No. 37-10 RE: DOL ISSUES FINAL PARTICIPANT DISCLOSURE...

[24689] November 5, 2010 TO: ACCOUNTING/TREASURERS MEMBERS No. 37-10 BANK, TRUST AND RECORDKEEPER ADVISORY COMMITTEE No. 48-10 BOARD OF GOVERNORS No. 8-10 BROKER/DEALER ADVISORY COMMITTEE No. 55-10 INVESTMENT COMPANY DIRECTORS No. 27-10 MONEY MARKET FUNDS ADVISORY COMMITTEE No. 57-10...

[24686] November 4, 2010 TO: ACCOUNTING/TREASURERS MEMBERS No. 36-10 BANK, TRUST AND RECORDKEEPER ADVISORY COMMITTEE No. 47-10 BROKER/DEALER ADVISORY COMMITTEE No. 54-10 FIXED-INCOME ADVISORY COMMITTEE No. 25-10 MONEY MARKET FUNDS ADVISORY COMMITTEE No. 56-10 MUNICIPAL SECURITIES...

  [24675]   October 29, 2010 TO: BROKER/DEALER ADVISORY COMMITTEE No. 53-10 INVESTMENT COMPANY DIRECTORS No. 25-10 OPERATIONS COMMITTEE No. 35-10 SEC RULES COMMITTEE No. 47-10 SMALL FUNDS COMMITTEE No. 19-10 TRANSFER AGENT ADVISORY COMMITTEE No. 73-10 RE: FINRA ISSUES CONCEPT RELEASE...

  [24672]   October 28, 2010 TO: BANK, TRUST AND RECORDKEEPER ADVISORY COMMITTEE No. 44-10 BROKER/DEALER ADVISORY COMMITTEE No. 51-10 COMPLIANCE MEMBERS No. 27-10 PENSION MEMBERS No. 46-10 TRANSFER AGENT ADVISORY COMMITTEE No. 70-10 RE: NOVEMBER 29TH CALL TO DISCUSS OPERATIONAL ISSUES...

  [24673]   October 28, 2010 TO: 529 PLAN MEMBERS No. 3-10 BANK, TRUST AND RECORDKEEPER ADVISORY COMMITTEE No. 45-10 BROKER/DEALER ADVISORY COMMITTEE No. 52-10 COMPLIANCE MEMBERS No. 28-10 INVESTMENT ADVISER MEMBERS No. 14-10 PENSION MEMBERS No. 47-10 SEC RULES MEMBERS No. 110-10...