1 For example, where an “established customer” (as defined in the rules) of a non-bank financial institution originates a transmittal order, the institution must keep the following information: (1) the name and address of the transmittor; (2) the amount and execution date of the...
April 9, 1996 TO: BANK BROKER/DEALER ADVISORY COMMITTEE No. 8-96 OPERATIONS MEMBERS No. 14-96 RE: NSCC IMPORTANT NOTICE - TRUST COMPANY PARTICIPATION IN NETWORKING AND FUND/SERV ______________________________________________________________________________ Enclosed please find the...
March 21, 1996 TO: BANK BROKER/DEALER ADVISORY COMMITTEE No. 7-96 RE: OCC RULE AMENDMENTS CONCERNING BANK SUPERVISION OF BROKER-DEALERS ______________________________________________________________________________ The Office of the Comptroller of the Currency ("OCC") recently adopted...
March 15, 1996 TO: BANK BROKER/DEALER ADVISORY COMMITTEE No. 6-96 RE: FEBRUARY 9, 1996 MEETING SUMMARY & MAY 20, 1996 MEETING NOTICE ______________________________________________________________________________ Enclosed please find the summary of the February 9, 1996 meeting of the...
March 5, 1996 TO: OPERATIONS MEMBERS No. 9-96 BROKER/DEALER ADVISORY COMMITTEE No. 4-96 BANK BROKER/DEALER ADVISORY COMMITTEE No. 5-96 TRANSFER AGENT ADVISORY COMMITTEE No. 11-96 RE: OPERATIONS COMMITTEE MEMBER NOMINATED TO NSCC BOARD __________________________________________________...
January 26, 1996 TO: BANK BROKER/DEALER ADVISORY COMMITTEE No. 4-96 RE: FEBRUARY 9, 1996 MEETING AGENDA & FEBRUARY 8, 1996 TOUR AND DINNER ______________________________________________________________________________ Enclosed please find the agenda for the February 9, 1996 meeting of...
January 24, 1996 TO: BANK BROKER/DEALER ADVISORY COMMITTEE No. 3-96 RE: OCTOBER 18, 1995 MEETING SUMMARY & FEBRUARY 9, 1996 MEETING NOTICE ______________________________________________________________________________ Enclosed please find the summary of the October 18, 1995 Bank...
January 16, 1996 TO: BANK BROKER/DEALER ADVISORY COMMITTEE No. 2-96 BROKER/DEALER ADVISORY COMMITTEE No. 2-96 OPERATIONS MEMBERS No. 4-96 TRANSFER AGENT ADVISORY COMMITTEE No. 4-96 RE: GUIDELINES FOR LOST SHAREHOLDER LOCATION EFFORTS ___________________________________________________...
January 5, 1996 TO: OPERATIONS MEMBERS No. 2-96 BANK BROKER/DEALER ADVISORY COMMITTEE No. 1-96 BROKER/DEALER ADVISORY COMMITTEE No. 1-96 TRANSFER AGENT ADVISORY COMMITTEE No. 1-96 RE: WHITE PAPER ON CONVERSION OF B TO A SHARES __________________________________________________________...
