Internal Audit Advisory Content

1 Reports To Be Made by Certain Brokers and Dealers, SEC Release No. 34-40608; FR-53; File No. S7-7-98 (October 28, 1998); 63 Fed. Reg. 59208 (November 3, 1998) (the “Release”). 2 See Reports to be Made by Certain Brokers and Dealers, SEC Release No. 34-40162; File No. S7-7-98 (July 2...

1 Year 2000 Readiness Reports To Be Made by Certain Non-Bank Transfer Agents, SEC Release No. 34-40587; FR-52; File No. S7-8-98 (October 22, 1998) (the “Release”). 2 See Reports to be Made by Certain Transfer Agents, SEC Release No. 34-40165; File No. S7-8-98 (July 2, 1998). In a...

1 Investment Adviser Year 2000 Reports, SEC Release Nos. IA-1769 and IC-23476; File No. S7-20-98 (Oct. 1, 1998) (the “Release”). 2 See Investment Adviser Year 2000 Reports, SEC Release Nos. IA-1728 and IC-23293; File No. S7-20-98 (June 30, 1998). 3 The Release also notes that the...

1 See Memorandum to Accounting/Treasurers Committee No. 27-98, Compliance Advisory Committee No. 18-98, Independent Accountants Advisory Committee No. 7-98, Internal Audit Committee No. 6-98, Investment Advisers Committee No. 24-98, Operations Committee No. 26-98, SEC Rules Committee...

1 See Memorandum to Accounting/Treasurers Committee No. 27-98, Compliance Advisory Committee No. 18-98, Internal Audit Committee No. 6-98, Investment Advisers Committee No. 24-98, Operations Committee No. 26-98, SEC Rules Committee No. 68-98, and Transfer Agent Advisory Committee No...

[10136] July 17, 1998 TO: ACCOUNTING/TREASURERS COMMITTEE No. 30-98 COMPLIANCE ADVISORY COMMITTEE No. 20-98 INTERNAL AUDIT COMMITTEE No. 8-98 OPERATIONS COMMITTEE No. 28-98 SEC RULES MEMBERS No. 55-98 RE: NASD YEAR 2000 QUESTION AND ANSWER SESSIONS FOR FORM BD-Y2K ____________________...

1 Year 2000 Readiness Reports To Be Made by Certain Transfer Agents, SEC Release No. 34-40163; File No. S7-8-98 (July 2, 1998); and Reports To Be Made by Certain Brokers and Dealers, SEC Release No. 34-40162; File No. S7-7-98 (July 2, 1998) (the “Releases”). 2 See Memorandum to...

1 Investment Adviser Year 2000 Reports, SEC Release No. IA-1728, IC-23293; File No. S7-20-98 (June 30, 1998) (the “Release”). The Release is a follow-up to two earlier companion releases in which the SEC proposed Year 2000 reporting requirements for certain transfer agents and broker...

[10073] June 26, 1998 TO: INTERNAL AUDIT COMMITTEE No. 5-98 RE: DRAFT AGENDA FOR JULY 14 MEETING ______________________________________________________________________________ Attached is a draft agenda for the upcoming meeting of the Internal Audit Committee on Tuesday, July 14th at...

[9996] June 8, 1998 TO: INTERNAL AUDIT COMMITTEE No. 4-98 RE: NOTICE OF MEETING - JULY 14 ______________________________________________________________________________ A meeting of the Internal Audit Committee has been scheduled for Tuesday, July 14, 1998, at the offices of the...