Transfer Agent Advisory Content

URGENT [14838] June 27, 2002 TO: COMPLIANCE ADVISORY COMMITTEE No. 45-02 INTERNATIONAL COMMITTEE No. 49-02 INTERNATIONAL OPERATIONS ADVISORY COMMITTEE No. 25-02 MONEY LAUNDERING RULES WORKING GROUP No. 32-02 PRIMARY CONTACTS - MEMBER COMPLEX No. 48-02 TRANSFER AGENT ADVISORY COMMITTEE...

[14834] June 26, 2002 TO: TRANSFER AGENT ADVISORY COMMITTEE No. 46-02 RE: PRELIMINARY AGENDA FOR JULY 17-18, 2002 MEETING The next meeting of the Transfer Agent Advisory Committee will be held on Wednesday, July 17th from 3:00 to 5:00 p.m. ET and Thursday, July 18th from 9:00 a.m. to...

[14790] June 6, 2002 TO: TRANSFER AGENT ADVISORY COMMITTEE No. 45-02 RE: MEETING NOTICE -- JULY 17-18, 2002 The next meeting of the Transfer Agent Advisory Committee will be held on Wednesday and Thursday, July 17 and 18, 2002 in the David Silver Conference Room (12th floor) of the...

URGENT/ACTION REQUESTED [14778] May 31, 2002 TO: BROKER/DEALER ADVISORY COMMITTEE No. 15-02 COMPLIANCE ADVISORY COMMITTEE No. 43-02 INTERNATIONAL COMMITTEE No. 42-02 INTERNATIONAL OPERATIONS ADVISORY COMMITTEE No. 22-02 MONEY LAUNDERING RULES WORKING GROUP No. 29-02 PRIMARY CONTACTS -...

[14772] May 30, 2002 TO: BROKER/DEALER ADVISORY COMMITTEE No. 14-02 COMPLIANCE ADVISORY COMMITTEE No. 42-02 INTERNATIONAL COMMITTEE No. 40-02 INTERNATIONAL OPERATIONS ADVISORY COMMITTEE No. 21-02 MONEY LAUNDERING RULES WORKING GROUP No. 27-02 SEC RULES COMMITTEE No. 43-02 TRANSFER...

[14764] May 29, 2002 TO: BROKER/DEALER ADVISORY COMMITTEE No. 13-02 COMPLIANCE ADVISORY COMMITTEE No. 41-02 INTERNATIONAL MEMBERS No. 12-02 SEC RULES MEMBERS No. 41-02 SMALL FUNDS MEMBERS No. 16-02 TRANSFER AGENT ADVISORY COMMITTEE No. 42-02 RE: TREASURY PROPOSAL CONCERNING DUE...

[14712] May 8, 2002 TO: ACCOUNTING/TREASURERS COMMITTEE No. 21-02 CLOSED-END INVESTMENT COMPANY MEMBERS No. 19-02 INVESTMENT ADVISER ASSOCIATE MEMBERS No. 13-02 INVESTMENT ADVISER MEMBERS No. 21-02 OPERATIONS MEMBERS No. 14-02 PRIMARY CONTACTS - MEMBER COMPLEX No. 39-02 SEC RULES...

[14708] May 8, 2002 TO: PENSION MEMBERS No. 21-02 PENSION OPERATIONS ADVISORY COMMITTEE No. 31-02 TRANSFER AGENT ADVISORY COMMITTEE No. 40-02 RE: IRS ISSUES REVISED LISTINGS OF REQUIRED MODIFICATIONS FOR PROTOTYPE IRAS, SEPS AND SIMPLES The Internal Revenue Service has issued revised...

[14707] May 7, 2002 TO: TRANSFER AGENT ADVISORY COMMITTEE No. 39-02 RE: TREASURY RELEASES INTERIM FINAL RULES ON MUTUAL FUND ANTI-MONEY LAUNDERING PROGRAMS; SEC APPROVES NASD RULE ON BROKER-DEALER ANTI-MONEY LAUNDERING PROGRAMS The USA PATRIOT Act requires financial institutions...

URGENT [14689] May 3, 2002 TO: BROKER/DEALER ADVISORY COMMITTEE No. 12-02 COMPLIANCE ADVISORY COMMITTEE No. 39-02 INTERNATIONAL COMMITTEE No. 34-02 INTERNATIONAL OPERATIONS ADVISORY COMMITTEE No. 18-02 MONEY LAUNDERING RULES WORKING GROUP No. 23-02 PRIMARY CONTACTS - MEMBER COMPLEX No...