Transfer Agent Advisory Content

[10988] May 17, 1999 TO: ACCOUNTING/TREASURERS MEMBERS No. 13-99 CLOSED-END INVESTMENT COMPANY MEMBERS No. 18-99 COMPLIANCE ADVISORY COMMITTEE No. 18-99 INTERNATIONAL COMMITTEE No. 22-99 OPERATIONS MEMBERS No. 12-99 PRIMARY CONTACTS - MEMBER COMPLEX No. 53-99 SEC RULES MEMBERS No. 31...

1 See ICI Memorandum “Federal Office of Child Support Enforcement – Financial Institution Data Match Program” dated December 1, 1998 to above distribution, which introduces the OCSE’s multistate program and includes targeted implementation dates. [10973] May 12, 1999 TO: OPERATIONS...

1 See, e.g., Institute Memorandum to Tax Committee No. 3-99, Operations Committee No. 4-99, Transfer Agent Advisory Committee No. 12-99 and Bank and Trust Advisory Committee No. 3-99, dated February 3, 1999. 2 See, e.g., Institute Memorandum to Operations Members No. 35-98, Tax...

1 Revised Transfer Agent Form and Related Rule, Rel. No. 34-41204 (March 23, 1999); 64 Fed. Reg. 15310 (March 31, 1999) (the “Release”). 2 Currently, Rule 17Ac2-2 provides that a registered transfer agent is required to complete only Items 1 through 4 of Form TA-2 if it: received...

[10898] April 15, 1999 TO: TRANSFER AGENT ADVISORY COMMITTEE No. 26-99 RE: SUMMARY OF JANUARY 28, 1999 MEETING ______________________________________________________________________________ Attached is a summary of the Transfer Agent Advisory Committee (“TAAC”) meeting held on January...

1 See Institute Memorandum to Tax Committee No. 3-99, Operations Committee No. 4-99, Transfer Agent Advisory Committee No. 12-99 and Bank and Trust Advisory Committee No. 3-99, dated February 3, 1999. [10880] April 8, 1999 TO: TAX COMMITTEE No. 7-99 OPERATIONS COMMITTEE No. 11-99...

[10871] April 7, 1999 TO: TRANSFER AGENT ADVISORY COMMITTEE No. 24-99 RE: PRELIMINARY AGENDA FOR APRIL 22, 1999 MEETING ______________________________________________________________________________ The next meeting of the Transfer Agent Advisory Committee will take place on Thursday...

[10856] April 1, 1999 TO: ACCOUNTING/TREASURERS MEMBERS No. 12-99 CLOSED-END INVESTMENT COMPANY MEMBERS No. 13-99 COMPLIANCE ADVISORY COMMITTEE No. 11-99 INTERNATIONAL COMMITTEE No. 13-99 OPERATIONS MEMBERS No. 10-99 PRIMARY CONTACTS - MEMBER COMPLEX No. 38-99 SEC RULES MEMBERS No. 23...

1 See Institute Memorandum to Accounting/Treasurers Members No. 7-99, International Members No. 5-99, Tax Members No. 8-99 and Transfer Agent Advisory Committee No. 13-99, dated February 3, 1999. 2 A separate memorandum to the Pension Committee discusses the retirement security issues...

1 Operational Capability Requirements of Registered Broker-Dealers and Transfer Agents and Year 2000 Compliance, Rel. No. 34-41142 (March 5, 1999); 64 Fed. Reg. 12127 (March 11, 1999) (the “Release”). 1 [10800] March 15, 1999 TO: ACCOUNTING/TREASURERS COMMITTEE No. 7-99 CLOSED-END...