Transfer Agent Advisory Content

[10099] July 7, 1998 TO: TRANSFER AGENT ADVISORY COMMITTEE No. 38-98 RE: MEETING - JULY 23, 1998 ______________________________________________________________________________ The next meeting of the Transfer Agent Advisory Committee will take place on July 23 at the Investment...

1 Investment Adviser Year 2000 Reports, SEC Release No. IA-1728, IC-23293; File No. S7-20-98 (June 30, 1998) (the “Release”). The Release is a follow-up to two earlier companion releases in which the SEC proposed Year 2000 reporting requirements for certain transfer agents and broker...

[10092] July 2, 1998 TO: BANK AND TRUST ADVISORY COMMITTEE No. 9-98 BROKER/DEALER ADVISORY COMMITTEE No. 11-98 OPERATIONS MEMBERS No. 18-98 TRANSFER AGENT ADVISORY COMMITTEE No. 36-98 RE: INTRODUCTION TO TRUST PROCESSING ________________________________________________________________...

[10082] June 30, 1998 TO: TRANSFER AGENT ADVISORY COMMITTEE No. 35-98 RE: RECENT COURT DECISIONS RELATING TO FIDUCIARY OBLIGATIONS AND LIABILITIES ______________________________________________________________________________ Three federal court decisions, summarized below, address...

[10081] June 29, 1998 TO: PENSION MEMBERS No. 38-98 PENSION OPERATIONS ADVISORY COMMITTEE No. 24-98 TRANSFER AGENT ADVISORY COMMITTEE No. 34-98 AD HOC COMMITTEE ON ROTH IRA AD HOC COMMITTEE ON EDUCATION IRA RE: HOUSE PASSES TECHNICAL CORRECTIONS LEGISLATION ___________________________...

[10074] June 26, 1998 TO: TRANSFER AGENT ADVISORY COMMITTEE No. 31-98 RE: SUMMARY OF APRIL 21, 1998 MEETING ______________________________________________________________________________ Attached is a summary of the Transfer Agent Advisory Committee meeting held on April 21 at the...

1 See Institute Memorandum to Tax Members No. 27-97, Accounting/Treasurers Members No. 31-97, Operations Members No. 13-97, International Members No. 12-97, Closed-End Investment Company Members No. 23-97, Unit Investment Trust Members No. 28-97 and Transfer Agent Advisory Committee...

[10075] June 26, 1998 TO: TRANSFER AGENT ADVISORY COMMITTEE No. 32-98 RE: SURVEY ON HOUSEHOLDING SHAREHOLDER MAILINGS ______________________________________________________________________________ The Transfer Agent Advisory Committee recently established a task force to develop a...

[10043] June 22, 1998 TO: OPERATIONS MEMBERS No. 15-98 PENSION MEMBERS No. 36-98 TAX MEMBERS No. 16-98 PENSION OPERATIONS ADVISORY COMMITTEE No. 22-98 TRANSFER AGENT ADVISORY COMMITTEE No. 30-98 RE: 1998 INSTITUTE SURVEY OF IRA PROTECTION IN BANKRUPTCY ________________________________...

[10003] June 10, 1998 TO: TRANSFER AGENT ADVISORY COMMITTEE No. 29-98 RE: MEETING NOTICE - JULY 23, 1998 ______________________________________________________________________________ The next meeting of the Transfer Agent Advisory Committee will take place on Thursday, July 23, 1998...