[13720] July 12, 2001 TO: BOARD OF GOVERNORS No. 33-01 ACCOUNTING/TREASURERS MEMBERS No. 16-01 BANK AND TRUST ADVISORY COMMITTEE No. 9-01 CLOSED-END INVESTMENT COMPANY MEMBERS No. 23-01 INTERNATIONAL MEMBERS No. 10-01 SECURITIES OPERATIONS SUBCOMMITTEE No. 8-01 TAX MEMBERS No. 18-01...
[13711] July 10, 2001 TO: TRANSFER AGENT ADVISORY COMMITTEE No. 47-01 OPERATIONS COMMITTEE No. 22-01 BROKER/DEALER ADVISORY COMMITTEE No. 16-01 BANK AND TRUST ADVISORY COMMITTEE No. 8-01 RE: STAMP 2000 PROGRAM - IMPLEMENTATION ISSUES As we previously informed you, STAMP, Inc. (the...
[13709] July 10, 2001 TO: ADVISORY GROUP ON BANKING ISSUES BANK INVESTMENT MANAGEMENT MEMBERS No. 4-01 BANK AND TRUST ADVISORY COMMITTEE No. 7-01 PENSION COMMITTEE No. 45-01 RE: DRAFT COMMENT LETTER ON SEC’S INTERIM RULES RELATING TO THE REGULATION OF BANKS AS BROKER-DEALERS UNDER THE...
[13605] June 7, 2001 TO: ACCOUNTING/TREASURERS MEMBERS No. 13-01 BANK AND TRUST ADVISORY COMMITTEE No. 6-01 CLOSED-END INVESTMENT COMPANY MEMBERS No. 19-01 INTERNATIONAL MEMBERS No. 8-01 SECURITIES OPERATIONS SUBCOMMITTEE No. 6-01 TAX MEMBERS No. 17-01 TRANSFER AGENT ADVISORY...
[13571] June 1, 2001 TO: BANK AND TRUST ADVISORY COMMITTEE No. 5-01 RE: JUNE 14 MEETING AGENDA The next meeting of the Bank and Trust Advisory Committee will take place on Thursday, June 14 in the David Silver Conference Room of the Investment Company Institute which is located at...
[13563] May 30, 2001 TO: ADVISORY GROUP ON BANKING ISSUES BANK INVESTMENT MANAGEMENT MEMBERS No. 2-01 BANK AND TRUST ADVISORY COMMITTEE No. 4-01 RE: SEC ADOPTS INTERIM FINAL RULES RELATING TO THE REGULATION OF BANKS AS BROKER-DEALERS UNDER THE ’34 ACT Effective May 11, 2001, the...
[13113] February 2, 2001 TO: BANK AND TRUST ADVISORY COMMITTEE No. 2-01 CLOSED-END INVESTMENT COMPANY COMMITTEE No. 2-01 INTERNATIONAL COMMITTEE No. 8-01 SECURITIES OPERATIONS SUBCOMMITTEE TAX COMMITTEE No. 2-01 TRANSFER AGENT ADVISORY COMMITTEE No. 12-01 UNIT INVESTMENT TRUST...
[13065] January 19, 2001 TO: BANK AND TRUST ADVISORY COMMITTEE No. 1-01 BROKER/DEALER ASSOCIATE MEMBERS No. 1-01 COMPLIANCE ADVISORY COMMITTEE No. 5-01 INTERNATIONAL MEMBERS No. 5-01 SEC RULES MEMBERS No. 7-01 TRANSFER AGENT ADVISORY COMMITTEE No. 6-01 RE: ANTI-MONEY LAUNDERING...
[12955] December 20, 2000 TO: BROKER/DEALER ADVISORY COMMITTEE No. 29-00 BANK AND TRUST ADVISORY COMMITTEE No. 32-00 OPERATIONS COMMITTEE No. 29-00 RE: RESPONSIBILITY FOR 1099B TAX REPORTING FOR FUND/SERV EXCHANGE TRANSACTIONS In 1992 and 1993, the Institute issued memoranda regarding...
[12884] November 27, 2000 TO: BANK AND TRUST ADVISORY COMMITTEE No. 31-00 RE: SUMMARY OF SEPTEMBER 14, 2000 MEETING Attached is a summary of the Bank and Trust Advisory Committee meeting held on September 14, 2000 at the Investment Company Institute. We would like to thank Karin...
