NICSA Transfer Agent Compliance Guide
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Ordering Information
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Click the link below to access the online Transfer Agent Compliance Guide (subscription required):
Has my company already subscribed to the online Transfer Agent Compliance Guide?
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Our most popular resource, the Transfer Agent Compliance Guide, is now available online! Reasonably-priced site licensing is available to firms, enabling an individual or an entire compliance department to access the NICSA Transfer Agent Compliance Guide right from the NICSA website.
The newly updated 2013 guide features an expanded privacy and data protection section, featuring detailed information on:
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New hyperlink functionality has also been added to the newly updated online guide linking readers to the text of laws, regulations and other supporting material. Revised citations have already been updated for the following sections:
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This comprehensive reference guide should be on the bookshelf of every Transfer Agent’s Compliance Department.
The Online Edition of the NICSA Transfer Agent Compliance Guide is available through annual site licensing exclusively to NICSA member organizations. License pricing is based on the size/membership level of your firm.To order or for additional information please call NICSA at 508.485.1500 or email info@nicsa.org.
Download the online TA guide order form here.
| Membership Category | Annual Subscription |
| Global Leader Firms | $1,299 |
| Level 1 | Asset Manager or Service Provider | $1,299 |
| Level 2 | Asset Manager or Service Provider | $799 |
| Level 3 | Asset Manager or Service Provider | $499 |
| Boutique | Asset Manager or Service Provider | $275 |
The print edition of the 2013 NICSA Transfer Agent Compliance Guide will be available in early fall of this year at the following rates:
| Membership Status | Per-Copy Price |
| Member Firms | $650 |
| Non-Member Firms | $950 |
Non-members: Click here to order
This will be the last print edition of the NICSA TA Compliance Guide. Beginning in 2014, it will be available in the electronic version ONLY.
Please note: Member pricing is available exclusively for members in good standing. To check on your membership status, please contact NICSA at info@nicsa.org.
| A. | Administrative Matters | |
| 1.0 | Transfer Agent Registration Requirements | |
| 2.0 | Fingerprinting | |
| 3.0 | Annual Study and Evaluation of Internal Accounting Control | |
| 4.0 | Blue Sky | |
| 5.0 | Disaster Recovery | |
| 6.0 | Privacy and Data Protection | |
| 7.0 | Money Laundering and Fraud | |
| 8.0 | Sarbanes-Oxley Act of 2002 | |
| 9.0 | Compliance Program Policies and Procedures | |
| 10.0 | Rule 22c-2 | |
| 11.0 | Pay to Play | |
| B. | Transfer Agent Transaction Processing | |
| 1.0 | Records Retention | |
| 2.0 | Pricing of Transactions | |
| 3.0 | Maintenance of Accurate Security Holder Files | |
| 4.0 | Redemptions and Transfers | |
| 5.0 | Confirmations and Mailings | |
| 6.0 | Written Inquiries and Requests | |
| 7.0 | Certificates | |
| 8.0 | Safeguarding Assets | |
| 9.0 | Signature Guarantees / Electronic Signatures | |
| 10.0 | Locating Lost Shareholders | |
| 11.0 | ACH Rules | |
| C. | Taxes | |
| 1.0 | Federal Tax Withholding | |
| 2.0 | Taxpayer Identification Number ("TIN") Compliance | |
| 3.0 | Information Reporting / Tax Returns / Cost Basis Reporting | |
| D. | Individual Retirement Accounts | |
| 1.0 | Traditional IRA Distributions, RMDs and Excess Contributions | |
| 2.0 | Transfer of Assets and Rollovers | |
| 3.0 | Roth IRAs | |
| 4.0 | SEPs | |
| 5.0 | SIMPLE IRAs | |
| 6.0 | Coverdell Education Savings Account (CESA) Formerly Education IRAs | |
| E. | 529 Plans | |
| 1.0 | 529 Plans | |
| Appendix A. Retention Requirements | ||