August 2, 1990
TO: INSURANCE COMPANY-DTC-FUND/SERV ADVISORY COMMITTEE NO. 7-90
RE: AGENDA QUESTIONNAIRE
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At our last meeting, the Committee decided that a
questionnaire would be sent to members to solicit ideas on the
issues the Committee would like to address in subsequent
meetings. Under the general categories, below are a few that
have come up in the past. If you have an interest in these
topics, please check the box to the right. If a topic of
interest to you is not listed, please list it under Other.
If you have any other suggestions or comments about how the
Committee is run or its structure, please submit them also.
OPERATIONS
FUND/SERV - DTC [__]
NSCC FUND/SERV [__]
NSCC FUND/SERV Money Market Trades [__]
Split Commission [__]
Maintenance and Mailing for Branch Offices [__]
Registered Representative Maintenance [__]
IRA Trades over the Wire [__]
Wire Order Cancellations - Gain/Loss Ownership [__]
CDSC Waivers (Cancellations, Renegs) [__]
DATA PROCESSING
Commission Tapes [__]
Direct Access to Fund Files [__]
Copy of Funds Master File on Tape [__]
-2-
REGULATORY
Signature Guarantees [__]
Alternatives to Certificate of Incumbency [__]
Standardization of Requirements [__]
TIN Certification [__]
Indemnification Agreement [__]
Legal Manual [__]
YEAR-END
Copies of Shareholder Confirmations/
Year-end Histories [__]
Tax Information [__]
COMMUNICATIONS
Standardized Applications [__]
Newsletters [__]
Copies of Correspondence to Broker/Dealer [__]
Telephone Systems - 24-hour Service [__]
OTHER
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Please send this completed questionnaire by August 20, 1990
by fax (202/293-1058) or mail to:
Donald E. O'Connor
Investment Company Institute
1600 M Street, NW - 6th Floor
Washington, D.C. 20036
Bruce C. Avery
Chairman