Operations Content

1 See, e.g., Institute Memorandum to (among others) Tax Members No. 27-97, Accounting/Treasurers Members No. 31-97, Operations Members No. 13-97 and Transfer Agent Advisory Committee No. 36-97, dated August 1, 1997. 2 See, e.g., Institute Memorandum to (among others) Tax Members No...

[11071] June 24, 1999 TO: OPERATIONS COMMITTEE No. 24-99 PENSION COMMITTEE No. 40-99 PENSION OPERATIONS ADVISORY COMMITTEE No. 34-99 RE: EXPANDED NSCC TRANSFER OF RETIREMENT ASSETS (TORA) SERVICE; REVISED AGREEMENT ______________________________________________________________________...

[11074] June 24, 1999 TO: BANK AND TRUST ADVISORY COMMITTEE No. 14-99 BROKER/DEALER ADVISORY COMMITTEE No. 15-99 OPERATIONS COMMITTEE No. 25-99 SMALL FUNDS COMMITTEE No. 6-99 TRANSFER AGENT ADVISORY COMMITTEE No. 40-99 RE: TRANSFER AGENT ADVISORY COMMITTEE YEAR 2000 TASK FORCE -...

[11063] June 21, 1999 TO: OPERATIONS COMMITTEE No. 23-99 TRANSFER AGENT ADVISORY COMMITTEE No. 38-99 RE: MUTUAL FUND COMPLEX INTERNET WEBSITE SURVEY ______________________________________________________________________________ The Transfer Agent Advisory Committee recently...

1 This year-end information often is referred to as “reclassified” tax information because of the practice at many brokerage firms and banks to treat distributions from RICs and REITs as ordinary income until advised to “reclassify” the income, such as to long-term capital gain. 2...

[11023] May 28, 1999 TO: PRIMARY CONTACTS - MEMBER COMPLEX No. 58-99 BOARD OF GOVERNORS No. 40-99 OPERATIONS COMMITTEE No. 21-99 TECHNOLOGY TASK FORCE MUTUAL FUND YEAR 2000 PROJECT LEADERS RE: SECURITIES INDUSTRY ASSOCIATION (SIA) - REPORT ON Y2K CONTINGENCY PLANNING _________________...

1 See Memorandum to Operations Committee No. 14-99 and Transfer Agent Advisory Committee No. 27-99 dated April 15, 1999. [11009] May 25, 1999 TO: OPERATIONS COMMITTEE No. 20-99 TRANSFER AGENT ADVISORY COMMITTEE No. 33-99 RE: INSTITUTE COMMENT LETTER ON PROPOSED AMENDMENTS TO RULE...

[10995] May 19, 1999 TO: COMPLIANCE ADVISORY COMMITTEE No. 19-99 OPERATIONS COMMITTEE No. 19-99 PRIMARY CONTACTS - MEMBER COMPLEX No. 55-99 SEC RULES COMMITTEE No. 39-99 TRANSFER AGENT ADVISORY COMMITTEE No. 32-99 MONEY LAUNDERING TASK FORCE RE: INSTITUTE PAPER ON MONEY LAUNDERING...

1 See ICI Memorandum “Federal Office of Child Support Enforcement – Financial Institution Data Match Program” dated December 1, 1998 to above distribution, which introduces the OCSE’s multistate program and includes targeted implementation dates. [10973] May 12, 1999 TO: OPERATIONS...