Operations Content

[10486] November 13, 1998 TO: OPERATIONS COMMITTEE No. 44-98 PRIMARY CONTACTS - MEMBER COMPLEX No. 108-98 SEC RULES COMMITTEE No. 116-98 SMALL FUNDS COMMITTEE No. 16-98 TECHNOLOGY TASK FORCE RE: MUTUAL FUND YEAR 2000 PROJECT LEADERS MEETING - DECEMBER 9, 1998 _________________________...

1 Reports To Be Made by Certain Brokers and Dealers, SEC Release No. 34-40608; FR-53; File No. S7-7-98 (October 28, 1998); 63 Fed. Reg. 59208 (November 3, 1998) (the “Release”). 2 See Reports to be Made by Certain Brokers and Dealers, SEC Release No. 34-40162; File No. S7-7-98 (July 2...

[10458] November 6, 1998 TO: ACCOUNTING/TREASURERS COMMITTEE No. 48-98 CLOSED-END INVESTMENT COMPANY COMMITTEE No. 24-98 DIRECT MARKETING COMMITTEE No. 20-98 FEDERAL LEGISLATION COMMITTEE No. 2-98 INDUSTRY STATISTICS COMMITTEE No. 15-98 INTERNATIONAL COMMITTEE No. 33-98 INVESTMENT...

1 Year 2000 Readiness Reports To Be Made by Certain Non-Bank Transfer Agents, SEC Release No. 34-40587; FR-52; File No. S7-8-98 (October 22, 1998) (the “Release”). 2 See Reports to be Made by Certain Transfer Agents, SEC Release No. 34-40165; File No. S7-8-98 (July 2, 1998). In a...

1 The bill is H.R. 4328, the Omnibus Consolidated and Emergency Supplemental Appropriations Act. 2 See Institute Memorandum to Tax Members No. 18-98, Accounting/Treasurers Members No. 16-98, Operations Members No. 17-98, Closed-End Investment Company Members No. 19-98, Unit Investment...

[10387] October 16, 1998 TO: OPERATIONS COMMITTEE No. 39-98 RE: OPERATIONS COMMITTEE MEETING AGENDA, NOVEMBER 1, 1998 CHICAGO, ILLINOIS ______________________________________________________________________________ Attached you will find the agenda for the Operations Committee meeting...

1[10338] September 30, 1998 TO: BOARD OF GOVERNORS No. 64-98 FEDERAL LEGISLATION MEMBERS No. 24-98 OPERATIONS COMMITTEE No. 38-98 PRIMARY CONTACTS - MEMBER COMPLEX No. 86-98 PUBLIC INFORMATION COMMITTEE No. 44-98 SEC RULES COMMITTEE No. 95-98 RE: MUTUAL FUND INDUSTRY Y2K PREPAREDNESS...

[10295] September 17, 1998 TO: COMPLIANCE ADVISORY COMMITTEE No. 27-98 CONTINUING EDUCATION AND TRAINING ADVISORY COMMITTEE No. 13-98 CONTINUING EDUCATION/TRAINING MEMBERS No. 10-98 OPERATIONS COMMITTEE No. 37-98 RE: UPDATE ON THE SECURITIES INDUSTRY CONTINUING EDUCATION PROGRAM _____...

[10236] August 28, 1998 TO: BANK AND TRUST ADVISORY COMMITTEE No. 12-98 OPERATIONS COMMITTEE No. 36-98 TRANSFER AGENT ADVISORY COMMITTEE No. 52-98 RE: BROKER/DEALER ADVISORY COMMITTEE MEETING -- NOVEMBER 4 ______________________________________________________________________________...

[10232] August 27, 1998 TO: OPERATIONS COMMITTEE No. 35-98 RE: NOTICE OF MEETING -- NOVEMBER 1, 1998 ______________________________________________________________________________ The next meeting of the Operations Committee will take place on Sunday, November, 1, 1998 at the Sheraton...