Operations Content

[15539] January 14, 2003 TO: OPERATIONS COMMITTEE No. 1-03 BROKER/DEALER ADVISORY COMMITTEE No. 3-03 BANK AND TRUST ADVISORY COMMITTEE No. 1-03 RE: BUSINESS CONTINUITY PLAN FOR FUND/SERV Last year, the ICI Broker/Dealer Advisory Committee’s Disaster Recovery task force developed...

[15336] November 7, 2002 TO: OPERATIONS COMMITTEE No. 18-02 TRANSFER AGENT ADVISORY COMMITTEE No. 96-02 BROKER/DEALER ADVISORY COMMITTEE No. 44-02 BANK AND TRUST ADVISORY COMMITTEE No. 12-02 SMALL FUNDS COMMITTEE No. 17-02 RE: STAMP, SEMP & NYSE MEDALLION PROGRAMS -- NOTICE OF...

[15271] October 17, 2002 TO: OPERATIONS COMMITTEE No. 17-02 TRANSFER AGENT ADVISORY COMMITTEE No. 90-02 RE: TREASURY DEPARTMENT GUIDANCE ON COMPLIANCE WITH SECTION 326 OF THE USA PATRIOT ACT As we previously informed you, in July of this year, the Treasury Department’s Financial...

[15258] October 10, 2002 TO: OPERATIONS COMMITTEE No. 16-02 RE: OPERATIONS COMMITTEE MEETING AGENDA, OCTOBER 20, 2002 Attached you will find the agenda for the Operations Committee meeting on Sunday, October 20, 2002. The meeting will be held in Salon D at the Fairmont Scottsdale...

[15134] September 6, 2002 TO: BROKER/DEALER ADVISORY COMMITTEE No. 38-02 COMPLIANCE ADVISORY COMMITTEE No. 74-02 INTERNATIONAL COMMITTEE No. 66-02 INTERNATIONAL OPERATIONS ADVISORY COMMITTEE No. 40-02 MONEY LAUNDERING RULES WORKING GROUP No. 53-02 OPERATIONS COMMITTEE No. 15-02 SEC...

[15043] August 15, 2002 TO: BROKER/DEALER ADVISORY COMMITTEE No. 31-02 END OF DAY PRICING FORUM No. 4-02 OPERATIONS COMMITTEE No. 14-02 TRANSFER AGENT ADVISORY COMMITTEE No. 70-02 RE: ICI EMERGENCY RESPONSE PLANS Following the terrorist attacks on September 11, 2001, the U.S...

[15041] August 14, 2002 TO: OPERATIONS COMMITTEE No. 13-02 RE: NOTICE OF MEETING - OCTOBER 20, 2002 The next meeting of the Operations Committee will take place on Sunday, October 20, 2002 at the Fairmont Scottsdale Princess in Scottsdale, Arizona. The Operations Committee meeting...

[14983] August 2, 2002 TO: ACCOUNTING/TREASURERS COMMITTEE No. 37-02 BANK AND TRUST ADVISORY COMMITTEE No. 7-02 BROKER/DEALER ADVISORY COMMITTEE No. 25-02 CLOSED-END INVESTMENT COMPANY COMMITTEE No. 31-02 OPERATIONS COMMITTEE No. 11-02 TAX COMMITTEE No. 23-02 TRANSFER AGENT ADVISORY...

[14893] July 10, 2002 TO: OPERATIONS COMMITTEE No. 10-02 TRANSFER AGENT ADVISORY COMMITTEE No. 51-02 RE: ICI TRANSFER AGENT ADVISORY COMMITTEE 2002 MUTUAL FUND COMPLEX INTERNET WEBSITE SURVEY RESULTS Last year, the Transfer Agent Advisory Committee established a task force to update...

[14700] May 6, 2002 TO: OPERATIONS COMMITTEE No. 8-02 SEC RULES COMMITTEE No. 37-02 SMALL FUNDS COMMITTEE No. 6-02 TECHNOLOGY ADVISORY COMMITTEE No. 5-02 RE: DRAFT COMMENT LETTER ON NASD PROPOSED BUSINESS CONTINUITY PLAN RULE As we previously informed you, the National Association of...