Transfer Agent Advisory Content

December 19, 1996 TO: BROKER/DEALER ADVISORY COMMITTEE No. 20-96 OPERATIONS COMMITTEE No. 34-96 SEC RULES COMMITTEE No. 132-96 TRANSFER AGENT ADVISORY COMMITTEE No. 71-96 RE: SEC STAFF INQUIRY REGARDING ""PORTABILITY"" OF MUTUAL FUND SHARES ____________________________________________...

December 13, 1996 TO: TRANSFER AGENT ADVISORY COMMITTEE No. 70-96 RE: MEETING - JULY 18, 1996 1997 MEETING SCHEDULE ___________________________________________________________________________ The next meeting of the Transfer Agent Advisory Committee will be held on Thursday, January...

December 4, 1996 TO: INVESTMENT ADVISERS COMMITTEE No. 27-96 OPERATIONS COMMITTEE No. 32-96 SEC RULES COMMITTEE No. 125-96 TRANSFER AGENT ADVISORY COMMITTEE No. 69-96 RE: INSTITUTE COMMENT LETTER ON PROPOSED RULES CONCERNING LOST SECURITYHOLDERS _______________________________________...

November 27, 1996 TO: OPERATIONS MEMBERS No. 53-96 TRANSFER AGENT ADVISORY COMMITTEE No. 68-96 RE: SEC APPROVES NSCC PROPOSAL TO PERMIT MUTUAL FUNDS TO TRANSFER ASSET WITHIN AN IRA ACCOUNT THRU FUND/SERV ______________________________________________________________________________...

November 26, 1996 TO: ADVERTISING SUBCOMMITTEE No. 30-96 BANK INVESTMENT MANAGEMENT MEMBERS No. 31-96 CHIEF COMPLEX CONTACTS (MEMBERS - ONE PER COMPLEX) No. 86-96 DIRECT MARKETING COMMITTEE No. 34-96 INTERNATIONAL MEMBERS No. 13-96 MARKETING POLICY COMMITTEE No. 39-96 OPERATIONS...

November 21, 1996 TO: ACCOUNTING/TREASURERS MEMBERS No. 40-96 BANK AND TRUST ADVISORY COMMITTEE No. 32-96 BROKER/DEALER ADVISORY COMMITTEE No. 19-96 CHIEF COMPLEX CONTACTS (MEMBERS - ONE PER COMPLEX) No. 85-96 OPERATIONS MEMBERS No. 50-96 TRANSFER AGENT ADVISORY COMMITTEE No. 66-96 RE...

1 See Institute Memorandum to Tax Members No. 49-96, Operations Members No. 47-96, Closed-End Investment Company Members No. 36-96, Unit Investment Trust Members No. 54-96 and Transfer Agent Advisory Committee No. 63-96, dated November 1, 1996. 2 See e.g., Institute Memorandum to Tax...

November 14, 1996 TO: CHIEF COMPLEX CONTACTS (MEMBERS - ONE PER COMPLEX) No. 84-96 SEC RULES MEMBERS No. 71-96 BANK INVESTMENT MANAGEMENT MEMBERS No. 29-96 CLOSED-END INVESTMENT COMPANY MEMBERS No. 39-96 UNIT INVESTMENT TRUST MEMBERS No. 56-96 INVESTMENT ADVISER MEMBERS No. 47-96...

1 These regulations were contained within a comprehensive package of regulations devoted primarily to backup withholding issues. See Institute Memorandum to Tax Members No. 5-96, Operations Members No. 5-96, Closed-End Fund Members No. 2-96, Unit Investment Trust Members No. 5-96 and...

October 31, 1996 TO: TRANSFER AGENT ADVISORY COMMITTEE No. 62-96 RE: MEETING - NOVEMBER 6 AND 7,1996 ______________________________________________________________________________