Transfer Agent Advisory Content

[9458] November 25, 1997 TO: TRANSFER AGENT ADVISORY COMMITTEE No. 69-97 RE: SUMMARY OF OCTOBER 30, 1997 MEETING ______________________________________________________________________________ Attached is a summary of the Transfer Agent Advisory Committee meeting held on October 30...

[9444] November 24, 1997 TO: TRANSFER AGENT ADVISORY COMMITTEE No. 68-97 RE: MEETING & TOUR - JANUARY 22 & 23, 1998 1998 MEETING SCHEDULE ______________________________________________________________________________ The next meeting of the Transfer Agent Advisory Committee will be...

1 Securities and Exchange Commission Release Nos. 33-7475, 34-39321 and IC-22884 (Nov. 13, 1997). 2 15 U.S.C. 77b(a)(10), 77d(1), 77e(b). [9437] November 19, 1997 TO: OPERATIONS COMMITTEE No. 40-97 TRANSFER AGENT ADVISORY COMMITTEE No. 67-97 SEC RULES COMMITTEE No. 113-97 CLOSED-END...

1 See Institute Memorandum to Tax Members No. 41-97, Accounting/Treasurers Members No. 44-97, Operations Members No. 25-97, Closed-End Investment Company Members No. 33-97, Unit Investment Trust Members No. 46-97, Transfer Agent Advisory Committee No. 61-97 and Broker/Dealer Advisory...

[9397] November 7, 1997 TO: ACCOUNTING/TREASURERS MEMBERS No. 45-97 BROKER/DEALER ADVISORY COMMITTEE No. 18-97 OPERATIONS MEMBERS No. 27-97 TAX MEMBERS No. 42-97 TRANSFER AGENT ADVISORY COMMITTEE No. 63-97 RE: PROVIDING YEAR-END TAX INFORMATION TO BROKERS _____________________________...

1 This year-end information often is referred to as "reclassified" tax information because of the practice at many brokerage firms to treat distributions from RICs and REITs as ordinary income until advised to "reclassify" the income, such as to long-term capital gain. 2 See Institute...

[9398] November 7, 1997 TO: DIRECT MARKETING COMMITTEE No. 25-97 OPERATIONS MEMBERS No. 29-97 TRANSFER AGENT ADVISORY COMMITTEE No. 65-97 RE: COMMENT LETTER ON NASDR PROPOSAL REGARDING UNREGISTERED PERSONS’ COMMUNICATIONS WITH THE PUBLIC _______________________________________________...

[9394] November 6, 1997 TO: TAX COMMITTEE No. 39-97 ACCOUNTING/TREASURERS COMMITTEE No. 44-97 MARKETING POLICY COMMITTEE No. 33-97 DIRECT MARKETING COMMITTEE No. 24-97 SALES FORCE MARKETING COMMITTEE No. 24-97 PUBLIC INFORMATION COMMITTEE No. 30-97 SHAREHOLDER COMMUNICATIONS COMMITTEE...

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...

[9363] October 23, 1997 TO: ACCOUNTING/TREASURERS COMMITTEE No. 41-97 BANK INVESTMENT MANAGEMENT MEMBERS No. 21-97 CLOSED-END INVESTMENT COMPANY MEMBERS No. 32-97 COMPLIANCE ADVISORY COMMITTEE No. 31-97 CUSTODIAN ADVISORY COMMITTEE No. 3-97 INVESTMENT ADVISER ASSOCIATE MEMBERS No. 40...