Operations Content

July 25, 1994 TO: BANK BROKER/DEALER ADVISORY COMMITTEE NO. 19-94 BROKER/DEALER ADVISORY COMMITTEE NO. 17-94 HUMAN RESOURCES AND TRAINING WORKING GROUP NO. 9-94 INSURANCE BROKER-DEALER ADVISORY COMMITTEE NO. 12-94 MEMBERS - ONE PER COMPLEX NO. 51-94 OPERATIONS COMMITTEE NO. 19-94...

July 21, 1994 TO: ACCOUNTING/TREASURERS COMMITTEE NO. 40-94 BANK BROKER/DEALER ADVISORY COMMITTEE NO. 18-94 BROKER/DEALER ADVISORY COMMITTEE NO. 16-94 CLOSED-END FUND COMMITTEE NO. 18-94 INSURANCE BROKER-DEALER ADVISORY COMMITTEE NO. 11-94 OPERATIONS COMMITTEE NO. 18-94 SEC RULES...

July 21, 1994 TO: BANK BROKER/DEALER ADVISORY COMMITTEE NO. 17-94 BOARD OF GOVERNORS NO. 62-94 BROKER/DEALER ADVISORY COMMITTEE NO. 15-94 MARKETING POLICY COMMITTEE NO. 32-94 OPERATIONS COMMITTEE NO. 17-94 SALES FORCE MARKETING COMMITTEE NO. 26-94 SEC RULES COMMITTEE NO. 81-94...

1SEC ICI Memorandum to Board of Governors No. 56-94, Accounting/Treasurers Committee No. 35-94, Direct Marketing Committee No. 15- 94, Industry Statistics Committee No. 11-94, Marketing Policy Committee No. 26-94, Members - One Per Complex No. 41-94, Operations Committee No. 13-94...

July 12, 1994 TO: BROKER/DEALER ADVISORY COMMITTEE NO. 13-94 OPERATIONS COMMITTEE NO. 15-94 SALES FORCE MARKETING COMMITTEE NO. 23-94 RE: PROPOSED RULE CHANGE TO MANDATE USE OF ACATS FUND/SERV FOR BROKER TO BROKER TRANSFERS OF MUTUAL FUND ACCOUNT POSITIONS ____________________________...

July 6, 1994 TO: OPERATIONS COMMITTEE NO. 14-94 ICI MUTUAL MEMBERS NO. 14-94 RE: INVESTMENT MANAGEMENT INDUSTRY DISASTER RECOVERY SURVEY __________________________________________________________ The Investment Company Institute's Operations Department and ICI Mutual Insurance Company...

June 30, 1994 TO: BOARD OF GOVERNORS NO. 56-94 ACCOUNTING/TREASURERS COMMITTEE NO. 35-94 DIRECT MARKETING COMMITTEE NO. 15-94 INDUSTRY STATISTICS COMMITTEE NO. 11-94 MARKETING POLICY COMMITTEE NO. 26-94 MEMBERS - ONE PER COMPLEX NO. 41-94 OPERATIONS COMMITTEE NO. 13-94 PUBLIC...

June 15, 1994 TO: ACCOUNTING/TREASURERS COMMITTEE NO. 31-94 OPERATIONS COMMITTEE NO. 12-94 SEC RULES COMMITTEE NO. 63-94 TAX COMMITTEE NO. 22-94 SUBCOMMITTEE ON PROPOSED RULE 6c-10 RE: INSTITUTE COMMENT LETTER ON PROPOSED RULE 6c-10 ____________________________________________________...

June 6, 1994 TO: BOARD OF GOVERNORS NO. 48-94 BROKER/DEALER ASSOCIATE MEMBERS NO. 10-94 DIRECT MARKETING COMMITTEE NO. 12-94 INDUSTRY STATISTICS COMMITTEE NO. 9-94 MARKETING POLICY COMMITTEE NO. 22-94 MEMBERS - ONE PER COMPLEX NO. 37-94 OPERATIONS COMMITTEE NO. 11-94 PUBLIC...

May 24, 1994 TO: ACCOUNTING/TREASURERS COMMITTEE NO. 25-94 OPERATIONS COMMITTEE NO. 10-94 TAX COMMITTEE NO. 18-94 RE: JUNE 14 MEETING TO DISCUSS NEW REQUIREMENTS FOR SUBSTITUTE FORMS W-9 AND FORMS 1099. __________________________________________________________ As we previously...