Operations Content

* 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. [9630] February 2, 1998 TO...

1 See Memorandum to Investment Adviser Associate Members No. 42-97, Investment Adviser Members No. 46-97, Operations Members No. 26-97, SEC Rules Members No. 80-97, and Internal Audit Ad Hoc Committee, dated October 30, 1997. 2 Revised Bulletin No. 5 also notes that if a company has...

1 The “list” refers to Appendices A and B to 31 CFR Chapter V, and includes the names of blocked persons, specially designated nationals, specially designated terrorists, foreign terrorist organizations, specially designated narcotics traffickers, and blocked vessels. 2 See Department...

* 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. [9590] January 12, 1998 TO...

[9554] December 30, 1997 TO: BROKER/DEALER ADVISORY COMMITTEE No. 26-97 COMPLIANCE ADVISORY COMMITTEE No. 33-97 CONTINUING EDUCATION AND TRAINING ADVISORY COMMITTEE No. 12-97 CONTINUING EDUCATION/TRAINING MEMBERS No. 5-97 DIRECT MARKETING COMMITTEE No. 29-97 HUMAN RESOURCES FORUM No...

[9553] December 30, 1997 TO: BROKER/DEALER ADVISORY COMMITTEE No. 25-97 COMPLIANCE ADVISORY COMMITTEE No. 32-97 CONTINUING EDUCATION AND TRAINING ADVISORY COMMITTEE No. 11-97 CONTINUING EDUCATION/TRAINING MEMBERS No. 4-97 DIRECT MARKETING COMMITTEE No. 28-97 HUMAN RESOURCES FORUM No...

1 Department of the Treasury, "Management of Federal Agency Disbursements" (September 11, 1997), 62 Fed. Reg. 48714 (September 16, 1997) (the "Release"). The proposal would revise 31 CFR Part 208 (the "Proposed Rule"). The Release indicates that the conversion to an EFT environment...

1 See, e.g., Institute Memorandum to Tax Members No. 43-97, Accounting/Treasurers Members No. 46- 97, Operations Members No. 28-97, Broker/Dealer Advisory Committee No. 19-97 and Transfer Agent Advisory Committee No. 64-97, dated November 7, 1997. 2 See Institute Memorandum to...

[9448] November 24, 1997 TO: BOARD OF GOVERNORS No. 64-97 ACCOUNTING/TREASURERS COMMITTEE No. 46-97 OPERATIONS COMMITTEE No. 41-97 SEC RULES COMMITTEE No. 117-97 RE: INSTITUTE RECOMMENDATION TO SEC ON CIRCUIT BREAKERS ___________________________________________________________________...

[9431] November 19, 1997 TO: OPERATIONS COMMITTEE No. 39-97 RE: DTC’S TRUST FUND/SERV AGREEMENT AND FUND/SERV INTERFACE PARTICIPANT AGREEMENT ______________________________________________________________________________ Enclosed are DTC
s Trust Fund/SERV Agreement and Fund/SERV...