Transfer Agent Advisory Content

[11278] September 29, 1999 TO: ACCOUNTING/TREASURERS COMMITTEE No. 31-99 DIRECT MARKETING COMMITTEE No. 14-99 INVESTMENT ADVISERS COMMITTEE No. 14-99 OPERATIONS MEMBERS No. 21-99 PENSION MEMBERS No. 35-99 PENSION OPERATIONS ADVISORY COMMITTEE No. 44-99 PRIMARY CONTACTS - MEMBER...

[11275] September 27, 1999 TO: TRANSFER AGENT ADVISORY COMMITTEE No. 58-99 RE: PRELIMINARY AGENDA FOR OCTOBER 14, 1999 MEETING ______________________________________________________________________________ The next meeting of the Transfer Agent Advisory Committee will take place on...

[11248] September 15, 1999 TO: ACCOUNTING/TREASURERS COMMITTEE No. 29-99 BROKER/DEALER ADVISORY COMMITTEE No. 25-99 CLOSED-END INVESTMENT COMPANY COMMITTEE No. 30-99 COMPLIANCE ADVISORY COMMITTEE No. 35-99 EQUITY MARKETS ADVISORY COMMITTEE No. 29-99 FIXED-INCOME ADVISORY COMMITTEE No...

[11226] September 8, 1999 TO: OPERATIONS COMMITTEE No. 35-99 PRIMARY CONTACTS - MEMBER COMPLEX No. 80-99 SEC RULES COMMITTEE No. 64-99 SMALL FUNDS COMMITTEE No. 12-99 TRANSFER AGENT ADVISORY COMMITTEE No. 56-99 TECHNOLOGY TASK FORCE MUTUAL FUND YEAR 2000 PROJECT LEADERS (Attendees of...

[11220] September 2, 1999 TO: TRANSFER AGENT ADVISORY COMMITTEE No. 55-99 RE: MEETING - OCTOBER 14, 1999 ______________________________________________________________________________ The next meeting of the Transfer Agent Advisory Committee will take place on Thursday, October 14 in...

1 The House version of the bill, H.R. 2488 (the “Financial Freedom Act of 1999”), was passed by the House on July 22, 1999. See Institute Memorandum to Pension Committee No. 46-99 and Pension Operations Advisory Committee No. 36-99, dated July 28, 1999, for a discussion of pension...

1 Note, however, that shareholders filing Form 4952, “Investment Interest Expense Deduction,” and electing to include certain net capital gains in “investment income” will be required to complete Schedule D. 2 See, e.g., Institute Memorandum to Accounting/Treasurers Committee No. 20...

1 Year 2000 Operational Capability Requirements for Registered Broker-Dealers and Transfer Agents, Rel. No. 34-41661 (July 27, 1999); 64 Fed. Reg. 42012 (August 3, 1999). The Commission had proposed a series of rules that would have imposed permanent operational capability standards...

1 The relevant pension-related provisions will be summarized in a separate Institute Memorandum. [11173] August 9, 1999 TO: ACCOUNTING/TREASURERS MEMBERS No. 22-99 CLOSED-END INVESTMENT COMPANY MEMBERS No. 30-99 INTERNATIONAL MEMBERS No. 22-99 OPERATIONS MEMBERS No. 20-99 TAX MEMBERS...

[11161] August 4, 1999 TO: PRIMARY CONTACTS - MEMBER COMPLEX No. 74-99 BOARD OF GOVERNORS No. 50-99 OPERATIONS COMMITTEE No. 30-99 SMALL FUNDS COMMITTEE No. 11-99 TRANSFER AGENT ADVISORY COMMITTEE No. 50-99 TECHNOLOGY TASK FORCE MUTUAL FUND YEAR 2000 PROJECT LEADERS RE: SECURITIES...