Operations Content

[14666] April 25, 2002 TO: BROKER/DEALER ASSOCIATE MEMBERS No. 2-02 CLOSED-END INVESTMENT COMPANY MEMBERS No. 15-02 COMPLIANCE ADVISORY COMMITTEE No. 38-02 INTERNAL AUDIT ADVISORY COMMITTEE No. 5-02 INTERNATIONAL COMMITTEE No. 32-02 INTERNATIONAL OPERATIONS ADVISORY COMMITTEE No. 17...

[14668] April 24, 2002 TO: OPERATIONS COMMITTEE No. 6-02 SMALL FUNDS COMMITTEE No. 4-02 TRANSFER AGENT ADVISORY COMMITTEE No. 35-02 RE: OFAC FREEZES ASSETS OF TEN MORE TERRORISTS AND TERRORIST ORGANIZATIONS The Office of Foreign Assets Control (OFAC) has added nine individuals and one...

[14660] April 22, 2002 TO: OPERATIONS COMMITTEE No. 5-02 SEC RULES COMMITTEE No. 33-02 SMALL FUNDS COMMITTEE No. 3-02 TECHNOLOGY ADVISORY COMMITTEE No. 4-02 RE: NASD PROPOSED RULE ON BUSINESS CONTINUITY PLANS AND EMERGENCY CONTACT INFORMATION The National Association of Securities...

[14632] April 11, 2002 TO: OPERATIONS COMMITTEE No. 4-02 TRANSFER AGENT ADVISORY COMMITTEE No. 31-02 RE: ICI TRANSFER AGENT ADVISORY COMMITTEE SURVEY ON NSCC’S TRANSFER OF RETIREMENT ASSETS (TORA) Last year, the Transfer Agent Advisory Committee established a task force to assess...

[14570] March 25, 2002 TO: OPERATIONS COMMITTEE No. 3-02 RE: MEETING ON APRIL 18 AND DINNER ON APRIL 17 As you were previously notified1, the next meeting of the Operations Committee will take place on Thursday, April 18, 2002 in the David Silver conference room on the twelfth floor...

[14517] March 8, 2002 TO: OPERATIONS COMMITTEE No. 2-02 RE: NOTICE OF MEETING - APRIL 18, 2002 The next meeting of the Operations Committee will take place on Thursday, April 18, 2002 in the David Silver conference room (12th floor) of the Investment Company Institute, 1401 H Street...

[14436] February 7, 2002 TO: OPERATIONS COMMITTEE No. 1-02 TRANSFER AGENT ADVISORY COMMITTEE No. 11-02 RE: 2002 MUTUAL FUND COMPLEX INTERNET WEBSITE SURVEY The Transfer Agent Advisory Committee established a task force last year to review and update the 1999 Mutual Fund Complex...

[14194] November 29, 2001 TO: BOARD OF GOVERNORS No. 60-01 PRIMARY CONTACTS - MEMBER COMPLEX No. 89-01 FEDERAL LEGISLATION MEMBERS No. 17-01 OPERATIONS COMMITTEE No. 32-01 TAX COMMITTEE No. 31-01 ACCOUNTING/TREASURERS COMMITTEE No. 35-01 RE: INDUSTRY LETTER TO CONGRESS REQUESTING TAX...

[14052] October 15, 2001 TO: CLOSED-END INVESTMENT COMPANY COMMITTEE No. 15-01 COMPLIANCE ADVISORY COMMITTEE No. 49-01 OPERATIONS COMMITTEE No. 31-01 PRIVACY ISSUES WORKING GROUP No. 2-01 SEC RULES COMMITTEE No. 82-01 SMALL FUNDS COMMITTEE No. 16-01 TECHNOLOGY ADVISORY COMMITTEE No...

[14047] October 12, 2001 TO: OPERATIONS COMMITTEE No. 30-01 TAX COMMITTEE No. 27-01 TECHNOLOGY ADVISORY COMMITTEE No. 10-01 TRANSFER AGENT ADVISORY COMMITTEE No. 82-01 SMALL FUNDS COMMITTEE No. 15-01 RE: SECURING AMERICA INVESTMENT ACT OF 2001 The Securing America Investment Act of...