[9559]
December 30, 1997
TO: BANK AND TRUST ADVISORY COMMITTEE No. 15-97
RE: UPDATED CONTACT LIST FOR PROVIDING YEAR-END TAX INFORMATION
TO BROKERS
______________________________________________________________________________
As reported in a memo dated November 7, 1997, (Accounting/Treasurers Members No.
45-97, Broker/Dealer Advisory Committee No. 18-97, Operations Members No. 27-97, Tax
Members No. 42-97, Transfer Agent Advisory Committee No. 63-97) the ICI has proposed to
the Securities Industry Association (SIA) that a uniform file format and standardized
procedures be adopted to attend year-end tax reclassification. As an attachment to that memo,
a list was circulated containing the names and contact information of the persons at various
broker/dealers and other third party intermediaries to whom this year-end reclassification file
should be sent.
Since circulating that list on November 7, a number of additions and changes have been
posted to the contact list. As a result, we are providing you now, attached to this memo, an
updated version of the contact list. Please be advised that ICI members can access this contact
list in automated form on the ICIs members website at the following address:
http://members.ici.org/p2/tax/index.html#1997. Please note that a user account is required
for access to this site. If you are an ICI member who does not yet have a user account, you can
apply for one by filling out the "ICINet Enrollment" form at the site’s homepage
(http://members.ici.org).
In addition to the contact list, automated files containing the year-end reclass file
format, a description of the files data elements, and a depiction of how data should appear in
the file are available at the same website address
(http://members.ici.org/p2/tax/index.html#1997).
If you have questions or concerns regarding the year-end reclass file, how to use it, how
to access it on the ICIs members website, or, in the event you are not an ICI member, how to
access the files described above in automated format, please do not hesitate to contact the
undersigned at 202/326-5848. Thank you.
Kevin Farragher
Director - Operations
Distribution & Service
Attachment (in .pdf format)