Operations Content

[11449] December 3, 1999 TO: BANK AND TRUST ADVISORY COMMITTEE No. 29-99 BROKER/DEALER ADVISORY COMMITTEE No. 33-99 OPERATIONS COMMITTEE No. 46-99 RE: BROKER/DEALER ADVISORY COMMITTEE Y2K CONTINGENCY PLAN CONTACTS _______________________________________________________________________...

* SEC Release No. 34-42043 (October 20, 1999), 64 Fed. Reg. 58112 (October 28, 1999). [11430] November 29, 1999 TO: OPERATIONS COMMITTEE No. 45-99 TRANSFER AGENT ADVISORY COMMITTEE No. 74-99 RE: SEC APPROVAL OF AMENDMENTS TO NASD SALES CHARGE RULE _____________________________________...

[11428] November 24, 1999 TO: OPERATIONS COMMITTEE No. 44-99 TRANSFER AGENT ADVISORY COMMITTEE No. 72-99 RE: GUIDANCE ON IRS LEVIES ON QUALIFIED RETIREMENT ACCOUNTS ______________________________________________________________________________ Recently, both an Internal Revenue...

1 See Memorandum to Operations Committee No. 40-97, Transfer Agent Advisory Committee No. 67-97, SEC Rules Committee No. 113-97, Closed-End Investment Company Committee No. 47-97, and Unit Investment Trust Committee No. 68-97, dated November 19, 1997. 2 SEC Release Nos. 33-7766, 34...

[11393] November 8, 1999 TO: BANK AND TRUST ADVISORY COMMITTEE No. 26-99 BROKER/DEALER ADVISORY COMMITTEE No. 31-99 OPERATIONS COMMITTEE No. 42-99 PRIMARY CONTACTS - MEMBER COMPLEX No. 101-99 SEC RULES COMMITTEE No. 94-99 SMALL FUNDS COMMITTEE No. 17-99 TRANSFER AGENT ADVISORY...

[11390] November 5, 1999 TO: BANK AND TRUST ADVISORY COMMITTEE No. 25-99 BROKER/DEALER ADVISORY COMMITTEE No. 30-99 OPERATIONS COMMITTEE No. 41-99 RE: BROKER/DEALER ADVISORY COMMITTEE Y2K CONTINGENCY PLAN ______________________________________________________________________________...

[11364] November 1, 1999 TO: PRIMARY CONTACTS - MEMBER COMPLEX No. 96-99 SEC RULES COMMITTEE No. 86-99 OPERATIONS COMMITTEE No. 39-99 BROKER/DEALER ADVISORY COMMITTEE No. 28-99 BANK AND TRUST ADVISORY COMMITTEE No. 23-99 TRANSFER AGENT ADVISORY COMMITTEE No. 65-99 SMALL FUNDS...

[11373] November 1, 1999 TO: OPERATIONS COMMITTEE No. 40-99 RE: OPERATIONS COMMITTEE MEETING AGENDA, NOVEMBER 14, 1999 - ORLANDO, FLORIDA ______________________________________________________________________________ Attached you will find the agenda for the Operations Committee...

[11318] October 19, 1999 TO: BROKER/DEALER ADVISORY COMMITTEE No. 27-99 CLOSED-END INVESTMENT COMPANY COMMITTEE No. 34-99 COMPLIANCE ADVISORY COMMITTEE No. 41-99 EQUITY MARKETS ADVISORY COMMITTEE No. 32-99 FIXED-INCOME ADVISORY COMMITTEE No. 7-99 OPERATIONS COMMITTEE No. 38-99 PRIMARY...

[11248] September 15, 1999 TO: ACCOUNTING/TREASURERS COMMITTEE No. 29-99 BROKER/DEALER ADVISORY COMMITTEE No. 25-99 CLOSED-END INVESTMENT COMPANY COMMITTEE No. 30-99 COMPLIANCE ADVISORY COMMITTEE No. 35-99 EQUITY MARKETS ADVISORY COMMITTEE No. 29-99 FIXED-INCOME ADVISORY COMMITTEE No...