Transfer Agent Advisory Content

[13597] June 6, 2001 TO: OPERATIONS MEMBERS No. 14-01 TAX MEMBERS No. 16-01 TRANSFER AGENT ADVISORY COMMITTEE No. 42-01 RE: NEW TAX ACT REDUCES BACKUP WITHHOLDING RATE The tax legislation that will be signed into law on June 7 (the “Economic Growth and Tax Relief Reconciliation Act of...

[13575] June 4, 2001 TO: COMPLIANCE ADVISORY COMMITTEE No. 23-01 INTERNATIONAL COMMITTEE No. 38-01 OPERATIONS COMMITTEE No. 19-01 TRANSFER AGENT ADVISORY COMMITTEE No. 41-01 RE: TREASURY DEPARTMENT ADDS INDIVIDUALS AND BUSINESSES TO ITS LIST OF "SPECIALLY DESIGNATED NARCOTICS...

[13555] May 30, 2001 TO: TRANSFER AGENT ADVISORY COMMITTEE No. 40-01 RE: MEETING NOTICE -- JULY 18-19, 2001 The next meeting of the Transfer Agent Advisory Committee will be held on Wednesday and Thursday, July 18 and 19, 2001 in the David Silver Conference Room (12th floor) of the...

[13550] May 29, 2001 TO: TRANSFER AGENT ADVISORY COMMITTEE No. 39-01 RE: NEW COURSES ON MUTUAL FUND TRANSFER AGENTS The Investment Company Institute is pleased to introduce two new computer-based training courses. The Role and Responsibilities of a Mutual Fund Transfer Agent provides...

[13544] May 25, 2001 TO: INVESTMENT ADVISER MEMBERS No. 11-01 SEC RULES MEMBERS No. 46-01 ELECTRONIC COMMERCE ADVISORY COMMITTEE No. 13-01 OPERATIONS MEMBERS No. 13-01 SMALL FUNDS COMMITTEE No. 5-01 TECHNOLOGY ADVISORY COMMITTEE No. 7-01 TRANSFER AGENT ADVISORY COMMITTEE No. 38-01...

[13533] May 21, 2001 TO: BROKER/DEALER ADVISORY COMMITTEE No. 13-01 ELECTRONIC COMMERCE ADVISORY COMMITTEE No. 11-01 OPERATIONS MEMBERS No. 12-01 SEC RULES MEMBERS No. 44-01 SMALL FUNDS MEMBERS No. 15-01 TECHNOLOGY ADVISORY COMMITTEE No. 5-01 TRANSFER AGENT ADVISORY COMMITTEE No. 37...

[13505] May 16, 2001 TO: ACCOUNTING/TREASURERS MEMBERS No. 11-01 CLOSED-END INVESTMENT COMPANY MEMBERS No. 17-01 COMPLIANCE ADVISORY COMMITTEE No. 22-01 INTERNATIONAL COMMITTEE No. 36-01 OPERATIONS MEMBERS No. 11-01 PRIMARY CONTACTS - MEMBER COMPLEX No. 34-01 SEC RULES MEMBERS No. 43...

[13511] May 15, 2001 TO: BROKER/DEALER ADVISORY COMMITTEE No. 12-01 CLOSED-END INVESTMENT COMPANY MEMBERS No. 16-01 COMPLIANCE ADVISORY COMMITTEE No. 21-01 INVESTMENT ADVISER ASSOCIATE MEMBERS No. 6-01 INVESTMENT ADVISER MEMBERS No. 9-01 OPERATIONS COMMITTEE No. 18-01 SEC RULES...

[13500] May 14, 2001 TO: ELECTRONIC COMMERCE ADVISORY COMMITTEE No. 10-01 OPERATIONS MEMBERS No. 9-01 SEC RULES MEMBERS No. 39-01 SMALL FUNDS MEMBERS No. 13-01 TECHNOLOGY ADVISORY COMMITTEE No. 4-01 TRANSFER AGENT ADVISORY COMMITTEE No. 33-01 RE: SEC ADOPTS FINAL RULES GOVERNING...

[13507] May 14, 2001 TO: COMPLIANCE ADVISORY COMMITTEE No. 20-01 INTERNATIONAL COMMITTEE No. 35-01 SEC RULES MEMBERS No. 40-01 TRANSFER AGENT ADVISORY COMMITTEE No. 34-01 RE: SEC STAFF REMARKS ON ANTI-MONEY LAUNDERING COMPLIANCE Lori Richards, Director of the SEC’s Office of...