Operations Content

January 5, 1995 TO: ACCOUNTING/TREASURERS COMMITTEE No. 2-95 INVESTMENT ADVISERS COMMITTEE No. 1-95 OPERATIONS COMMITTEE No. 1-95 SEC RULES COMMITTEE No. 1-95 SMALL FUNDS COMMITTEE No. 1-95 TRANSFER AGENT ADVISORY COMMITTEE No. 2-95 RE: JANUARY 31, 1995 MEETING TO DISCUSS T+3...

December 29, 1994 TO: OPERATIONS COMMITTEE No. 38-94 TAX COMMITTEE No. 40-94 TRANSFER AGENT ADVISORY COMMITTEE No. 52-94 TASK FORCE ON NONRESIDENT ALIEN WITHHOLDING RE: INSTITUTE COMMENT LETTER ON NONRESIDENT ALIEN WITHHOLDING __________________________________________________________...

December 23, 1994 TO: OPERATIONS COMMITTEE No. 37-94 TRANSFER AGENT ADVISORY COMMITTEE No. 50-94 RE: INSTITUTE LETTER TO SEC STAFF ON DISCLOSURE REQUIREMENT OF NON-SIPC STATUS ______________________________________________________________________________ As you know, the SEC recently...

December 20, 1994 TO: BANK BROKER/DEALER ADVISORY COMMITTEE No. 29-94 OPERATIONS COMMITTEE No. 35-94 RE: OCC'S REQUEST FOR EXAMPLES OF DUPLICATIVE OR INCONSISTENT REGULATION ______________________________________________________________________________

December 20, 1994 TO: OPERATIONS COMMITTEE No. 34-94 TRANSFER AGENT ADVISORY COMMITTEE No. 49-94 RE: SEC PROPOSED AMENDMENTS TO TRANSFER AGENT RULES ______________________________________________________________________________ The Securities and Exchange Commission is proposing...

December 20, 1994 TO: BANK BROKER/DEALER ADVISORY COMMITTEE No. 30-94 OPERATIONS COMMITTEE No. 36-94 RE: PROPOSED NASD RULES CONCERNING BANK BROKER-DEALER ACTIVITIES ______________________________________________________________________________ The National Association of Securities...

ACTION REQUESTED December 15, 1994 VIA FAX TO: OPERATIONS COMMITTEE No. 33-94 TAX COMMITTEE No. 37-94 TRANSFER AGENT ADVISORY COMMITTEE No. 48-94 TASK FORCE ON NONRESIDENT ALIEN WITHHOLDING RE: DRAFT INSTITUTE COMMENT LETTER ON NONRESIDENT ALIEN WITHHOLDING ___________________________...

November 22, 1994 TO: BANK BROKER/DEALER ADVISORY COMMITTEE No. 26-94 BROKER/DEALER ADVISORY COMMITTEE No. 23-94 DIRECT MARKETING COMMITTEE No. 33-94 HUMAN RESOURCES AND TRAINING WORKING GROUP No. 12-94 MARKETING POLICY COMMITTEE No. 49-94 MEMBERS - ONE PER COMPLEX No. 89-94...

October 20, 1994 TO: BANK BROKER/DEALER ADVISORY COMMITTEE NO. 23-94 BROKER/DEALER ADVISORY COMMITTEE NO. 21-94 OPERATIONS COMMITTEE NO. 31-94 SALES FORCE MARKETING COMMITTEE NO. 42-94 RE: MANDATING OF ACATS FUND/SERV FOR BROKER-TO-BROKER TRANSFERS OF MUTUAL FUND ACCOUNT POSITIONS ___...

October 18, 1994 TO: OPERATIONS COMMITTEE NO. 30-94 SEC RULES COMMITTEE NO. 109-94 TRANSFER AGENT ADVISORY COMMITTEE NO. 43-94 RE: NASAA SALES PRACTICES COMMITTEE URGES SEC STAFF TO REQUIRE CONFIRMATION DISCLOSURE OF FRONT-END LOADS ____________________________________________________...