[14183]
November 27, 2001
TO: ACCOUNTING/TREASURERS MEMBERS No. 37-01
BANK AND TRUST ADVISORY COMMITTEE No. 23-01
BROKER/DEALER ADVISORY COMMITTEE No. 29-01
OPERATIONS MEMBERS No. 28-01
TAX MEMBERS No. 30-01
TRANSFER AGENT ADVISORY COMMITTEE No. 96-01
RE: UPDATED SIA CONTACTS LIST FOR 2001 YEAR-END TAX REPORTING
The Institute previously distributed (1) the uniform file formats to be used by regulated
investment companies (“RICs”) when reporting 2001 year-end tax information to banks and
brokers, (2) the updated listing of contact information for persons at banks to whom RICs may
send 2001 year-end tax reporting information prepared by the American Bankers Association
(called the “2001 ABA Contacts List”) and (3) the procedures for RICs to access 2001 year-end
tax information for real estate investment trusts.1 Attached to this memorandum is the updated
listing of contact information for persons at brokerage firms and other third-party
intermediaries to whom RICs may send 2001 year-end tax reporting information prepared by
the Securities Industry Association (called the “2001 SIA Contacts List”).
The 2001 uniform file formats, 2001 ABA Contacts List and 2001 SIA Contacts List are
available on the Institute’s members-only internet home page at http://members.ici.org
(“ICINet”).2 The Institute will post any further updates to the ABA or SIA contact lists on
ICINet.
Deanna J. Flores
Associate Counsel
Attachment
Note: Not all recipients receive the attachment. To obtain a copy of the attachment, please visit our members website
(http://members.ici.org) and search for memo 14183, or call the ICI Library at (202) 326-8304 and request the
attachment for memo 14183.
1 See Institute Memorandum to Accounting/Treasurers Members No. 35-01, Bank and Trust Advisory Committee No.
22-01, Broker/Dealer Advisory Committee No. 26-01, Operations Members No. 25-01, Tax Members No. 28-01 and
Transfer Agent Advisory Committee No. 92-01, dated November 12, 2001.
2 Those Institute members who have not been issued an ICINet password may receive one by accessing ICINet and
completing the ICINet enrollment form.