Operations Content

[10215] August 20, 1998 TO: BANK AND TRUST ADVISORY COMMITTEE No. 11-98 BROKER/DEALER ADVISORY COMMITTEE No. 12-98 OPERATIONS COMMITTEE No. 34-98 PRIMARY CONTACTS - MEMBER COMPLEX No. 72-98 TRANSFER AGENT ADVISORY COMMITTEE No. 50-98 RE: PARTICIPATION - YEAR 2000 INDUSTRYWIDE TESTING...

[10213] August 19, 1998 TO: OPERATIONS COMMITTEE No. 33-98 TRANSFER AGENT ADVISORY COMMITTEE No. 49-98 ATTACHED DISTRIBUTION LIST RE: NEW LAW EASES IMPLEMENTATION OF "DEADBEAT DAD" LEGISLATION; WORKSHOP PLANNED __________________________________________________________________________...

1 See Memorandum to Accounting/Treasurers Committee No. 27-98, Compliance Advisory Committee No. 18-98, Independent Accountants Advisory Committee No. 7-98, Internal Audit Committee No. 6-98, Investment Advisers Committee No. 24-98, Operations Committee No. 26-98, SEC Rules Committee...

1 See Memorandum to Accounting/Treasurers Committee No. 27-98, Compliance Advisory Committee No. 18-98, Internal Audit Committee No. 6-98, Investment Advisers Committee No. 24-98, Operations Committee No. 26-98, SEC Rules Committee No. 68-98, and Transfer Agent Advisory Committee No...

[10147] July 23, 1998 TO: ACCOUNTING/TREASURERS MEMBERS No. 19-98 CLOSED-END INVESTMENT COMPANY MEMBERS No. 21-98 INTERNATIONAL MEMBERS No. 17-98 INVESTMENT ADVISER ASSOCIATE MEMBERS No. 19-98 INVESTMENT ADVISER MEMBERS No. 20-98 OPERATIONS COMMITTEE No. 30-98 SEC RULES MEMBERS No. 57...

[10138] July 20, 1998 TO: PENSION MEMBERS No. 46-98 PENSION OPERATIONS ADVISORY COMMITTEE No. 29-98 OPERATIONS COMMITTEE No. 29-98 TAX COMMITTEE No. 24-98 TRANSFER AGENT ADVISORY COMMITTEE No. 42-98 RE: IRS GUIDANCE ON PENALTY RELIEF FOR TIN ERRORS ON FORMS 1099-R ____________________...

[10136] July 17, 1998 TO: ACCOUNTING/TREASURERS COMMITTEE No. 30-98 COMPLIANCE ADVISORY COMMITTEE No. 20-98 INTERNAL AUDIT COMMITTEE No. 8-98 OPERATIONS COMMITTEE No. 28-98 SEC RULES MEMBERS No. 55-98 RE: NASD YEAR 2000 QUESTION AND ANSWER SESSIONS FOR FORM BD-Y2K ____________________...

1 Year 2000 Readiness Reports To Be Made by Certain Transfer Agents, SEC Release No. 34-40163; File No. S7-8-98 (July 2, 1998); and Reports To Be Made by Certain Brokers and Dealers, SEC Release No. 34-40162; File No. S7-7-98 (July 2, 1998) (the “Releases”). 2 See Memorandum to...

1 Investment Adviser Year 2000 Reports, SEC Release No. IA-1728, IC-23293; File No. S7-20-98 (June 30, 1998) (the “Release”). The Release is a follow-up to two earlier companion releases in which the SEC proposed Year 2000 reporting requirements for certain transfer agents and broker...

[10013] June 15, 1998 TO: OPERATIONS COMMITTEE No. 25-98 SMALL FUNDS COMMITTEE No. 11-98 RE: YEAR 2000 SURVEY RESULTS AND REQUEST FOR ADDITIONAL RESPONSES ______________________________________________________________________________ Enclosed please find a copy of the results of the...