Operations Content

[17867] August 5, 2004 TO: INTERNATIONAL MEMBERS No. 46-04 INTERNATIONAL OPERATIONS ADVISORY COMMITTEE No. 32-04 OPERATIONS COMMITTEE No. 17-04 RE: INSTITUTE COMMENT LETTER ON CLEARING AND SETTLEMENT IN THE EUROPEAN UNION On July 30, 2004, the Institute submitted a comment letter to...

[17862] August 5, 2004 TO: ACCOUNTING/TREASURERS COMMITTEE No. 26-04 BANK AND TRUST ADVISORY COMMITTEE No. 17-04 BROKER/DEALER ADVISORY COMMITTEE No. 24-04 CLOSED-END INVESTMENT COMPANY COMMITTEE No. 32-04 OPERATIONS COMMITTEE No. 18-04 TAX COMMITTEE No. 25-04 TRANSFER AGENT ADVISORY...

[17858] August 4, 2004 TO: PRIMARY CONTACTS - MEMBER COMPLEX No. 75-04 BOARD OF GOVERNORS No. 51-04 CEOS TECHNOLOGY ADVISORY COMMITTEE No. 21-04 BCP SUBCOMMITTEE SMALL FUNDS COMMITTEE No. 44-04 OPERATIONS COMMITTEE No. 16-04 SEC RULES COMMITTEE No. 68-04 RE: FEDERAL BUREAU OF...

[17856] August 3, 2004 TO: PRIMARY CONTACTS - MEMBER COMPLEX No. 74-04 BOARD OF GOVERNORS No. 50-04 CEOS TECHNOLOGY ADVISORY COMMITTEE No. 20-04 BCP SUBCOMMITTEE SMALL FUNDS COMMITTEE No. 43-04 OPERATIONS COMMITTEE No. 15-04 SEC RULES COMMITTEE No. 67-04 RE: THREAT LEVEL INCREASED TO...

[17799] July 22, 2004 TO: OPERATIONS COMMITTEE No. 14-04 TRANSFER AGENT ADVISORY COMMITTEE No. 63-04 BROKER/DEALER ADVISORY COMMITTEE No. 22-04 BANK AND TRUST ADVISORY COMMITTEE No. 15-04 RE: STAMP/SEMP PROGRAM UPDATE STAMP Inc. and Kemark Financial Services have issued the attached...

ACTION REQUESTED [17745] July 1, 2004 TO: OPERATIONS COMMITTEE No. 13-04 BANK AND TRUST ADVISORY COMMITTEE No. 14-04 BROKER/DEALER ADVISORY COMMITTEE No. 21-04 TRANSFER AGENT ADVISORY COMMITTEE No. 60-04 RE: INSTITUTE URGES IMPLEMENTATION OF NASD BREAKPOINT TASK FORCE RECOMMENDATION...

[17638] June 8, 2004 TO: ACCOUNTING/TREASURERS COMMITTEE No. 14-04 OPERATIONS COMMITTEE No. 12-04 SEC RULES COMMITTEE No. 52-04 SMALL FUNDS COMMITTEE No. 34-04 TECHNOLOGY ADVISORY COMMITTEE No. 14-04 PRIMARY CONTACTS - MEMBER COMPLEX No. 55-04 RE: HOMELAND SECURITY STRATEGY FOR...

[17559] May 20, 2004 TO: BROKER/DEALER ADVISORY COMMITTEE No. 18-04 COMPLIANCE ADVISORY COMMITTEE No. 53-04 INVESTMENT ADVISER MEMBERS No. 9-04 OPERATIONS COMMITTEE No. 10-04 SEC RULES MEMBERS No. 75-04 SMALL FUNDS MEMBERS No. 55-04 TRANSFER AGENT ADVISORY COMMITTEE No. 47-04 RE: SEC...

[17478] May 7, 2004 TO: 529 PLAN ADVISORY COMMITTEE No. 18-04 BANK AND TRUST ADVISORY COMMITTEE No. 11-04 BROKER/DEALER ADVISORY COMMITTEE No. 16-04 OPERATIONS COMMITTEE No. 9-04 PENSION COMMITTEE No. 25-04 PENSION OPERATIONS ADVISORY COMMITTEE No. 36-04 SEC RULES COMMITTEE No. 41-04...

[17405] April 20, 2004 TO: MONEY LAUNDERING RULES WORKING GROUP No. 13-04 OPERATIONS COMMITTEE No. 8-04 TRANSFER AGENT ADVISORY COMMITTEE No. 37-04 RE: TAAC CUSTOMER IDENTIFICATION PROGRAM SURVEY RESULTS The Transfer Agent Advisory Committee established a task force last year, chaired...