Transfer Agent Advisory Content

February 19, 1997 TO: PRIMARY CONTACTS - MEMBER COMPLEX (MEMBERS - ONE PER COMPLEX) No. 8-97 TRANSFER AGENT ADVISORY COMMITTEE No. 9-97 OPERATIONS COMMITTEE No. 4-97 RE: TREASURY DESIGNATION OF INDIVIDUALS AND ENTITIES AS BLOCKED PERSONS _______________________________________________...

1 See Institute Memorandum to Closed-End Fund Committee No. 7-96, Operations Members No. 12-96, Pension Members No. 15-96, Tax Members No. 13-96, Transfer Agent Advisory Committee No. 15-96, and Unit Investment Trust Committee No. 10-96, dated March 26, 1996. - 1 - February 12, 1997...

February 6, 1997 TO: TRANSFER AGENT ADVISORY COMMITTEE No. 7-97 RE: MEETING - APRIL 23, 1997 _________________________________________________________________________ The next meeting of the Transfer Agent Advisory Committee will take place on Wednesday, April 23, 1997. The meeting...

* See Memorandum to Broker/Dealer Advisory Committee No. 20-96, Operations Committee No. 34-96, SEC Rules Committee No. 132-96 and Transfer Agent Advisory Committee No. 71-96, dated December 19, 1996. February 6, 1997 TO: BROKER/DEALER ADVISORY COMMITTEE No. 3-97 OPERATIONS COMMITTEE...

January 24, 1997 TO: ADVERTISING SUBCOMMITTEE No. 4-97 BANK INVESTMENT MANAGEMENT MEMBERS No. 6-97 DIRECT MARKETING COMMITTEE No. 3-97 INTERNATIONAL MEMBERS No. 4-97 MARKETING POLICY COMMITTEE No. 5-97 OPERATIONS MEMBERS No. 5-97 PRIMARY CONTACTS - MEMBER COMPLEX No. 4-97 SALES FORCE...

January 8, 1997 TO: TRANSFER AGENT ADVISORY COMMITTEE No. 3-97 RE: COMMITTEE MEETING - JANUARY 23 ______________________________________________________________________________ Attached is the preliminary agenda for the next meeting of the Transfer Agent Advisory Committee. The...

January 3, 1997 TO: ACCOUNTING/TREASURERS MEMBERS No. 1-97 BANK AND TRUST ADVISORY COMMITTEE No. 1-97 BROKER/DEALER ADVISORY COMMITTEE No. 2-97 OPERATIONS MEMBERS No. 1-97 TRANSFER AGENT ADVISORY COMMITTEE No. 1-97 RE: AMENDED INCLUSION CRITERIA FOR NASDAQ MUTUAL FUND QUOTATION...

January 3, 1997 TO: ADVERTISING SUBCOMMITTEE No. 1-97 BANK INVESTMENT MANAGEMENT MEMBERS No. 1-97 DIRECT MARKETING COMMITTEE No. 1-97 INTERNATIONAL MEMBERS No. 1-97 MARKETING POLICY COMMITTEE No. 1-97 OPERATIONS MEMBERS No. 2-97 PRIMARY CONTACTS - MEMBER COMPLEX No. 1-97 SALES FORCE...

1 These include, for example, various regulations under the Bank Secrecy Act, such as rules adopted earlier this year governing certain wire and other funds transfers. 2 These regulations are designed to prohibit transactions by U.S. persons with certain foreign countries, persons and...