2013-2014

The NICSA Transfer Agent Compliance Guide makes it easy to look up and understand the many laws and regulations governing transfer agent operations. The Guide was completely updated in 2013-2014. Updates included:

  • Standardized structure and formatting
  • Hyperlinks to code sections
  • Complete updating of sections
  • New sections

New sections authored by Theresa Hamacher: money market funds, ABLE accounts.

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