Transfer Agent Advisory Content

[14404] January 29, 2002 TO: OPERATIONS MEMBERS No. 2-02 TAX MEMBERS No. 6-02 TRANSFER AGENT ADVISORY COMMITTEE No. 7-02 RE: IRS ISSUES REVISED FORM W-9 (REQUEST FOR TAXPAYER IDENTIFICATION NUMBER AND CERTIFICATION) AND INSTRUCTIONS The Internal Revenue Service has issued the attached...

[14366] January 16, 2002 TO: CLOSED-END INVESTMENT COMPANY COMMITTEE No. 4-02 COMPLIANCE ADVISORY COMMITTEE No. 5-02 SEC RULES COMMITTEE No. 6-02 TRANSFER AGENT ADVISORY COMMITTEE No. 5-02 UNIT INVESTMENT TRUST COMMITTEE No. 3-02 RE: INSTITUTE DRAFT COMMENT LETTER ON PROPOSED...

[14287] January 8, 2002 TO: ACCOUNTING/TREASURERS MEMBERS No. 1-02 BROKER/DEALER ADVISORY COMMITTEE No. 1-02 CLOSED-END INVESTMENT COMPANY MEMBERS No. 3-02 COMPLIANCE ADVISORY COMMITTEE No. 2-02 INTERNATIONAL MEMBERS No. 2-02 SEC RULES MEMBERS No. 4-02 SMALL FUNDS MEMBERS No. 1-02...

[14301] January 4, 2002 TO: PENSION MEMBERS No. 1-02 PENSION OPERATIONS ADVISORY COMMITTEE No. 1-02 TRANSFER AGENT ADVISORY COMMITTEE No. 1-02 RE: IRS ISSUES GUIDANCE ON IRA, SEP AND SIMPLE IRA DOCUMENTS The Internal Revenue Service has issued Revenue Procedure 2002-10, which...

URGENT [14284] December 31, 2001 TO: COMPLIANCE ADVISORY COMMITTEE No. 70-01 INTERNATIONAL COMMITTEE No. 71-01 INTERNATIONAL OPERATIONS ADVISORY COMMITTEE No. 24-01 PRIMARY CONTACTS - MEMBER COMPLEX No. 98-01 TRANSFER AGENT ADVISORY COMMITTEE No. 108-01 RE: OFAC FREEZES ASSETS OF SIX...

URGENT [14267] December 20, 2001 TO: COMPLIANCE ADVISORY COMMITTEE No. 69-01 INTERNATIONAL COMMITTEE No. 70-01 INTERNATIONAL OPERATIONS ADVISORY COMMITTEE No. 23-01 PRIMARY CONTACTS - MEMBER COMPLEX No. 95-01 TRANSFER AGENT ADVISORY COMMITTEE No. 107-01 RE: OFAC FREEZES ASSETS OF MORE...

[14257] December 19, 2001 TO: TRANSFER AGENT ADVISORY COMMITTEE No. 106-01 RE: 2001 SURVEY OF BEST PRACTICES FOR INDUSTRY TRANSFER OF ASSETS FORM A Task Force of the Investment Company Institute’s Transfer Agent Advisory Committee (TAAC) was formed earlier this year in order to gather...

URGENT [14250] December 17, 2001 TO: COMPLIANCE ADVISORY COMMITTEE No. 67-01 INTERNATIONAL COMMITTEE No. 66-01 INTERNATIONAL OPERATIONS ADVISORY COMMITTEE No. 21-01 PRIMARY CONTACTS - MEMBER COMPLEX No. 94-01 TRANSFER AGENT ADVISORY COMMITTEE No. 105-01 RE: OFAC FREEZES ASSETS OF...

URGENT [14241] December 14, 2001 TO: COMPLIANCE ADVISORY COMMITTEE No. 66-01 INTERNATIONAL COMMITTEE No. 65-01 INTERNATIONAL OPERATIONS ADVISORY COMMITTEE No. 20-01 PRIMARY CONTACTS - MEMBER COMPLEX No. 93-01 TRANSFER AGENT ADVISORY COMMITTEE No. 104-01 RE: OFAC FREEZES ASSETS OF...

[14219] December 13, 2001 TO: BOARD OF GOVERNORS No. 62-01 BROKER/DEALER ADVISORY COMMITTEE No. 31-01 BROKER/DEALER ASSOCIATE MEMBERS No. 10-01 COMPLIANCE ADVISORY COMMITTEE No. 64-01 INTERNAL AUDIT ADVISORY COMMITTEE No. 10-01 INTERNATIONAL MEMBERS No. 23-01 INTERNATIONAL OPERATIONS...