Transfer Agent Advisory Content

[9995] June 8, 1998 TO: OPERATIONS MEMBERS No. 14-98 ACCOUNTING/TREASURERS COMMITTEE No. 23-98 BANK AND TRUST ADVISORY COMMITTEE No. 8-98 BROKER/DEALER ADVISORY COMMITTEE No. 9-98 TRANSFER AGENT ADVISORY COMMITTEE No. 27-98 SEC RULES COMMITTEE No. 55-98 SMALL FUNDS COMMITTEE No. 10-98...

[9935] May 18, 1998 TO: ACCOUNTING/TREASURERS MEMBERS No. 10-98 CLOSED-END INVESTMENT COMPANY MEMBERS No. 14-98 INVESTMENT ADVISER ASSOCIATE MEMBERS No. 12-98 INVESTMENT ADVISER MEMBERS No. 14-98 OPERATIONS MEMBERS No. 13-98 PRIMARY CONTACTS - MEMBER COMPLEX No. 38-98 SEC RULES...

[9876] April 28, 1998 TO: PRIMARY CONTACTS - MEMBER COMPLEX No. 29-98 ACCOUNTING/TREASURERS MEMBERS No. 9-98 CLOSED-END INVESTMENT COMPANY MEMBERS No. 11-98 INVESTMENT ADVISER ASSOCIATE MEMBERS No. 9-98 INVESTMENT ADVISER MEMBERS No. 11-98 OPERATIONS MEMBERS No. 12-98 SEC RULES...

1 The other stock exchanges include the American Stock Exchange, Inc., the Boston Stock Exchange, Inc., the Chicago Stock Exchange, Inc., and the Philadelphia Stock Exchange, Inc. 2 Securities and Exchange Commission Release No. 34-39846 (April 9, 1998), 63 Fed. Reg. 18447 (April 15...

* See Memorandum to Accounting/Treasurers Committee No. 13-98, Compliance Advisory Committee No. 8-98, Independent Accountants Advisory Committee No. 3-98, Internal Audit Committee No. 2-98, Investment Advisers Committee No. 10-98, Operations Committee No. 13-98, SEC Rules Committee...

[9829] April 8, 1998 TO: BANK AND TRUST ADVISORY COMMITTEE No. 4-98 BROKER/DEALER ADVISORY COMMITTEE No. 6-98 OPERATIONS MEMBERS No. 10-98 TRANSFER AGENT ADVISORY COMMITTEE No. 22-98 RE: DEFINED CONTRIBUTION PROCESSING GUIDELINES _______________________________________________________...

* See Memorandum to Accounting/Treasurers Committee No. 13-98, Compliance Advisory Committee No. 8-98, Independent Accountants Advisory Committee No. 3-98, Internal Audit Committee No. 2-98, Investment Advisers Committee No. 10-98, Operations Committee No. 13-98, SEC Rules Committee...

* See Memorandum to Accounting/Treasurers Committee No. 14-98, Operations Committee No. 14-98, SEC Rules Committee No. 24-98, Transfer Agent Advisory Committee No. 15-98 and Equity Markets Task Force, dated March 10, 1998. [9771] March 18, 1998 TO: ACCOUNTING/TREASURERS MEMBERS No. 5...

[9765] March 17, 1998 TO: ACCOUNTING/TREASURERS COMMITTEE No. 15-98 OPERATIONS COMMITTEE No. 17-98 SEC RULES COMMITTEE No. 25-98 TRANSFER AGENT ADVISORY COMMITTEE No. 18-98 RE: CAPACITY PLANNING PAPER ______________________________________________________________________________...

[9755] March 13, 1998 TO: BANK AND TRUST ADVISORY COMMITTEE No. 3-98 BROKER/DEALER ADVISORY COMMITTEE No. 4-98 OPERATIONS COMMITTEE No. 15-98 TRANSFER AGENT ADVISORY COMMITTEE No. 16-98 RE: MEDALLION STAMP DOCUMENT PREPARED BY TRANSFER AGENT ADVISORY COMMITTEE TASK FORCE _____________...