Transfer Agent Advisory Content

[15365] November 19, 2002 TO: BROKER/DEALER ADVISORY COMMITTEE No. 46-02 BROKER/DEALER ASSOCIATE MEMBERS No. 13-02 COMPLIANCE ADVISORY COMMITTEE No. 102-02 CONTINUING EDUCATION AND TRAINING MEMBERS No. 13-02 HUMAN RESOURCES MEMBERS No. 12-02 INTERNAL AUDIT ADVISORY COMMITTEE No. 11-02...

[15357] November 15, 2002 TO: ACCOUNTING/TREASURERS MEMBERS No. 46-02 BANK AND TRUST ADVISORY COMMITTEE No. 13-02 BROKER/DEALER ADVISORY COMMITTEE No. 45-02 CLOSED-END INVESTMENT COMPANY MEMBERS No. 59-02 OPERATIONS MEMBERS No. 32-02 TAX MEMBERS No. 47-02 TRANSFER AGENT ADVISORY...

[15325] November 14, 2002 TO: COMPLIANCE ADVISORY COMMITTEE No. 99-02 DIRECTOR SERVICES COMMITTEE No. 8-02 INTERNATIONAL MEMBERS No. 28-02 INTERNATIONAL OPERATIONS ADVISORY COMMITTEE No. 51-02 OPERATIONS MEMBERS No. 31-02 SEC RULES MEMBERS No. 99-02 SMALL FUNDS MEMBERS No. 49-02...

[15336] November 7, 2002 TO: OPERATIONS COMMITTEE No. 18-02 TRANSFER AGENT ADVISORY COMMITTEE No. 96-02 BROKER/DEALER ADVISORY COMMITTEE No. 44-02 BANK AND TRUST ADVISORY COMMITTEE No. 12-02 SMALL FUNDS COMMITTEE No. 17-02 RE: STAMP, SEMP & NYSE MEDALLION PROGRAMS -- NOTICE OF...

URGENT/ACTION REQUESTED [15334] November 6, 2002 TO: COMPLIANCE ADVISORY COMMITTEE No. 97-02 INTERNATIONAL COMMITTEE No. 77-02 INTERNATIONAL OPERATIONS ADVISORY COMMITTEE No. 48-02 MONEY LAUNDERING RULES WORKING GROUP No. 63-02 PRIMARY CONTACTS - MEMBER COMPLEX No. 90-02 TRANSFER...

[15313] October 30, 2002 TO: TRANSFER AGENT ADVISORY COMMITTEE No. 94-02 RE: MARK YOUR CALENDAR - 2003 MEETING SCHEDULE The 2003 Transfer Agent Advisory Committee meeting schedule is as follows: January 23-24 Jacksonville, FL April 22-23 Washington, DC July 16-17 Washington, DC...

[15305] TO: BROKER/DEAL COMPLIANCE MONEY LAUN SEC RULES ME SMALL FUNDS TRANSFER AGE RE: TREASURY SUB VERIFICATION On October 22, 2 addressing issues relate foreign nationals who o by Section 326(b) of the In the report, Tr financial institutions’ ab a result, the report state...

URGENT/ACTION REQUESTED [15300] October 25, 2002 TO: COMPLIANCE ADVISORY COMMITTEE No. 93-02 INTERNATIONAL COMMITTEE No. 76-02 INTERNATIONAL OPERATIONS ADVISORY COMMITTEE No. 46-02 MONEY LAUNDERING RULES WORKING GROUP No. 60-02 PRIMARY CONTACTS - MEMBER COMPLEX No. 87-02 TRANSFER...

URGENT/ACTION REQUESTED [15285] October 21, 2002 TO: COMPLIANCE ADVISORY COMMITTEE No. 91-02 INTERNATIONAL COMMITTEE No. 75-02 INTERNATIONAL OPERATIONS ADVISORY COMMITTEE No. 45-02 MONEY LAUNDERING RULES WORKING GROUP No. 59-02 PRIMARY CONTACTS - MEMBER COMPLEX No. 85-02 TRANSFER...

[15271] October 17, 2002 TO: OPERATIONS COMMITTEE No. 17-02 TRANSFER AGENT ADVISORY COMMITTEE No. 90-02 RE: TREASURY DEPARTMENT GUIDANCE ON COMPLIANCE WITH SECTION 326 OF THE USA PATRIOT ACT As we previously informed you, in July of this year, the Treasury Department’s Financial...