Transfer Agent Advisory Content

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...

* In the Matter of Frank P. Meadows, III, and The Nottingham Company, Inc. d/b/a The Nottingham Management Company, Inc., d/b/a TNC, Inc., d/b/a F.P. Meadows & Company, and d/b/a The Nottingham Company, Release Nos. 34-39034, IC-22813, IA-1660, Admin. Proc. File No. 3-9395 (Sept. 9...

1 The SEC has designated the Depository Trust Company ("DTC") as the appropriate QRSD for purposes of the Rule. 2 The Institute argued that, among other things: (1) since depositories typically play no role in the clearance and settlement process for mutual fund shares (which are not...

[9221] September 5, 1997 TO: PENSION MEMBERS No. 41-97 OPERATIONS COMMITTEE No. 32-97 TRANSFER AGENT ADVISORY COMMITTEE No. 46-97 RE: SEC NO-ACTION LETTER ADDRESSES PRICING OF ORDERS PLACED WITH THIRD PARTIES UNDER RULE 22c-1 ___________________________________________________________...

[9217] September 5, 1997 TO: ACCOUNTING/TREASURERS MEMBERS No. 33-97 OPERATIONS MEMBERS No. 18-97 PENSION MEMBERS No. 40-97 PENSION OPERATIONS ADVISORY COMMITTEE No. 33-97 PRIMARY CONTACTS - MEMBER COMPLEX No. 59-97 TAX MEMBERS No. 35-97 TRANSFER AGENT ADVISORY COMMITTEE No. 45-97 RE...

1 See Institute Memorandum to Operations Members No. 11-97, Pension Members No. 20-97, Tax Members No. 17-97, Transfer Agent Advisory Committee No. 23-97 and Pension Operations Advisory Committee No. 13-97, dated May 23, 1997. [9204] September 4, 1997 TO: OPERATIONS MEMBERS No. 17-97...

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...

[9198] September 5, 1997 TO: ACCOUNTING/TREASURERS COMMITTEE No. 29-97 BANK INVESTMENT MANAGEMENT MEMBERS No. 18-97 CLOSED-END INVESTMENT COMPANY MEMBERS No. 24-97 COMPLIANCE ADVISORY COMMITTEE No. 23-97 CUSTODIAN ADVISORY COMMITTEE No. 2-97 INVESTMENT ADVISER ASSOCIATE MEMBERS No. 35...

1 See Institute Memorandum to Tax Committee No. 23-97, Pension Committee No. 29-97, Operations Committee No. 28-97, Accounting/Treasurers Committee No. 22-97, Transfer Agent Advisory Committee No. 39-97, and Pension Operations Advisory Committee No. 26-97, dated August 5, 1997. 2 See...

[9157] August 12, 1997 TO: ACCOUNTING/TREASURERS COMMITTEE No. 25-97 OPERATIONS MEMBERS No. 16-97 PENSION MEMBERS No. 34-97 PENSION OPERATIONS ADVISORY COMMITTEE No. 29-97 PRIMARY CONTACTS - MEMBER COMPLEX No. 53-97 TAX MEMBERS No. 32-97 TRANSFER AGENT ADVISORY COMMITTEE No. 40-97 RE...