Operations Content

[13575] June 4, 2001 TO: COMPLIANCE ADVISORY COMMITTEE No. 23-01 INTERNATIONAL COMMITTEE No. 38-01 OPERATIONS COMMITTEE No. 19-01 TRANSFER AGENT ADVISORY COMMITTEE No. 41-01 RE: TREASURY DEPARTMENT ADDS INDIVIDUALS AND BUSINESSES TO ITS LIST OF "SPECIALLY DESIGNATED NARCOTICS...

[13511] May 15, 2001 TO: BROKER/DEALER ADVISORY COMMITTEE No. 12-01 CLOSED-END INVESTMENT COMPANY MEMBERS No. 16-01 COMPLIANCE ADVISORY COMMITTEE No. 21-01 INVESTMENT ADVISER ASSOCIATE MEMBERS No. 6-01 INVESTMENT ADVISER MEMBERS No. 9-01 OPERATIONS COMMITTEE No. 18-01 SEC RULES...

[13439] April 25, 2001 TO: OPERATIONS COMMITTEE No. 16-01 TRANSFER AGENT ADVISORY COMMITTEE No. 30-01 RE: MULTISTATE FINANCIAL INSTITUTION DATA MATCH (MSFIDM) WORKSHOP MATERIALS FOR “DEADBEAT PARENTS” REPORTING The Federal Office of Child Support Enforcement (OCSE) conducted a...

[13444] April 25, 2001 TO: OPERATIONS COMMITTEE No. 17-01 TRANSFER AGENT ADVISORY COMMITTEE No. 31-01 RE: INSTITUTE COMMENT LETTER ON IRS PROPOSED REGULATIONS ON REQUIRED MINIMUM DISTRIBUTIONS Attached is a copy of the Institute’s Memorandum and comment letter dated April 17, 2001 on...

[13428] April 20, 2001 TO: INVESTMENT ADVISERS COMMITTEE No. 12-01 ELECTRONIC COMMERCE ADVISORY COMMITTEE No. 9-01 OPERATIONS COMMITTEE No. 15-01 TRANSFER AGENT ADVISORY COMMITTEE No. 29-01 UNIT INVESTMENT TRUST COMMITTEE No. 14-01 RE: INSTITUTE COMMENT LETTER ON SEC ELECTRONIC...

[13400] April 10, 2001 TO: BROKER/DEALER ADVISORY COMMITTEE No. 10-01 CLOSED-END INVESTMENT COMPANY MEMBERS No. 11-01 COMPLIANCE ADVISORY COMMITTEE No. 16-01 INVESTMENT ADVISER ASSOCIATE MEMBERS No. 2-01 INVESTMENT ADVISER MEMBERS No. 7-01 OPERATIONS COMMITTEE No. 13-01 PRIVACY...

[13402] April 10, 2001 TO: INVESTMENT ADVISERS COMMITTEE No. 11-01 SEC RULES COMMITTEE No. 34-01 ELECTRONIC COMMERCE ADVISORY COMMITTEE No. 8-01 OPERATIONS COMMITTEE No. 14-01 TRANSFER AGENT ADVISORY COMMITTEE No. 28-01 UNIT INVESTMENT TRUST COMMITTEE No. 13-01 RE: SEC PROPOSAL...

[13350] April 5, 2001 TO: OPERATIONS COMMITTEE No. 12-01 TRANSFER AGENT ADVISORY COMMITTEE No. 26-01 RE: REDEMPTION PRACTICES SURVEY The Transfer Agent Advisory Committee recently formed a task force to assess redemption transaction processing practices and procedures in our industry...

[13273] March 16, 2001 TO: ACCOUNTING/TREASURERS COMMITTEE No. 9-01 OPERATIONS COMMITTEE No. 11-01 SEC RULES COMMITTEE No. 27-01 T+1 ADVISORY COMMITTEE No. 3-01 RE: T+1 CONFERENCE - MAY 18, 2001 The Securities Industry Association is sponsoring a T+1 Conference at the New York...

[13262] March 14, 2001 TO: ACCOUNTING/TREASURERS COMMITTEE No. 8-01 OPERATIONS COMMITTEE No. 9-01 SEC RULES COMMITTEE No. 24-01 SMALL FUNDS COMMITTEE No. 2-01 RE: FINANCIAL SERVICES INFORMATION SHARING AND ANALYSIS CENTER In 1997, the President’s Commission on Critical Infrastructure...