Upon completion of The Role and Responsibilities of a Mutual Fund Transfer Agent, you will be able to:

1. Explain the role of a mutual fund transfer agent.
2. Discuss key requirements of Rule 38a-1 (the "Compliance Program" rule) of the Investment Company of 1940.
3. Identify the principle duties of a mutual fund transfer agent.
4. Describe how the Securities Exchange Act of 1934 regulates mutual fund transfer agents.
5. Describe the transfer agent’s role in processing financial transactions.
6. Discuss the purpose of signature guarantees and Signature Validation Program stamps and circumstances under which they are typically required.
7. Differentiate fund exchanges and account transfers.
8. Identify typical maintenance activities performed by transfer agents.
9. Explain how mutual fund accounts may be registered.
10. Explain the roles played by NSCC's Fund/SERV and Networking.
11. Explain the fundamentals of a mutual fund's anti-money laundering program.
12. Describe the quality-assurance measures frequently employed by transfer agents.
13. Describe the procedures mutual funds must follow in order to comply with consumer financial privacy provisions.
14. Describe and differentiate key tax forms mailed by a mutual fund transfer agent.