Transfer Agent Advisory Content

1 See Memorandum to Closed-End Investment Company Members No. 42-99, Operations Members No. 24-99, SEC Rules Members No. 69-99, Small Funds Members No. 13-99, and Unit Investment Trust Members No. 26-99, dated November 12, 1999. 2 SEC Release Nos. 33-7766, 34-42101, IC-24123 (Nov. 4...

1 The SIA’s FSCCC will serve as the central resource of standardized information regarding the status of the securities industry during the millennium crossover. The FSCCC will gather information from the exchanges and utilities, payment systems, regulators, and other sources and make...

[11450] December 9, 1999 TO: TRANSFER AGENT ADVISORY COMMITTEE No. 78-99 RE: UPCOMING TRANSFER AGENT ADVISORY COMMITTEE MEETING - JANUARY 27 & 28, 2000 ______________________________________________________________________________ The next meeting of the Transfer Agent Advisory...

[11435] December 1, 1999 TO: ACCOUNTING/TREASURERS COMMITTEE No. 46-99 DIRECT MARKETING COMMITTEE No. 17-99 INVESTMENT ADVISER MEMBERS No. 27-99 OPERATIONS MEMBERS No. 26-99 PENSION MEMBERS No. 43-99 PENSION OPERATIONS ADVISORY COMMITTEE No. 53-99 PRIMARY CONTACTS - MEMBER COMPLEX No...

* SEC Release No. 34-42043 (October 20, 1999), 64 Fed. Reg. 58112 (October 28, 1999). [11430] November 29, 1999 TO: OPERATIONS COMMITTEE No. 45-99 TRANSFER AGENT ADVISORY COMMITTEE No. 74-99 RE: SEC APPROVAL OF AMENDMENTS TO NASD SALES CHARGE RULE _____________________________________...

[11432] November 29, 1999 TO: BANK AND TRUST ADVISORY COMMITTEE No. 28-99 INTERNATIONAL COMMITTEE No. 50-99 TAX COMMITTEE No. 34-99 TRANSFER AGENT ADVISORY COMMITTEE No. 75-99 SECURITIES OPERATIONS SUBCOMMITTEE RE: ICI LETTER TO SWITZERLAND REGARDING ELIGIBILITY OF U.S. FUNDS FOR...

[11428] November 24, 1999 TO: OPERATIONS COMMITTEE No. 44-99 TRANSFER AGENT ADVISORY COMMITTEE No. 72-99 RE: GUIDANCE ON IRS LEVIES ON QUALIFIED RETIREMENT ACCOUNTS ______________________________________________________________________________ Recently, both an Internal Revenue...

[11422] November 24, 1999 TO: TRANSFER AGENT ADVISORY COMMITTEE No. 73-99 RE: SUMMARY OF OCTOBER 14, 1999 MEETING ______________________________________________________________________________ Attached is a summary of the Transfer Agent Advisory Committee (TAAC) meeting held on...

1 See Institute Memorandum to Accounting/Treasurers Members No. 34-99, Bank and Trust Advisory Committee No. 24-99, Broker/Dealer Advisory Committee No. 29-99, Operations Members No. 23-99, Tax Members No. 36-99 and Transfer Agent Advisory Committee No. 66-99. 2 The "1999 RIC...

1 See Memorandum to Operations Committee No. 40-97, Transfer Agent Advisory Committee No. 67-97, SEC Rules Committee No. 113-97, Closed-End Investment Company Committee No. 47-97, and Unit Investment Trust Committee No. 68-97, dated November 19, 1997. 2 SEC Release Nos. 33-7766, 34...