Transfer Agent Advisory Content

October 29, 1996 TO: BANK AND TRUST ADVISORY COMMITTEE No. 30-96 BROKER/DEALER ADVISORY COMMITTEE No. 18-96 COMPLIANCE COMMITTEE No. 31-96 CONTINUING EDUCATION AND TRAINING ADVISORY COMMITTEE No. 5-96 DIRECT MARKETING COMMITTEE No. 32-96 HUMAN RESOURCES FORUM No. 6-96 HUMAN RESOURCES...

October 24, 1996 TO: MEMBERS - ONE PER COMPLEX No. 78-96 SEC RULES MEMBERS No. 66-96 BANK INVESTMENT MANAGEMENT MEMBERS No. 26-96 CLOSED-END FUND MEMBERS No. 33-96 UNIT INVESTMENT TRUST MEMBERS No. 52-96 INVESTMENT ADVISER MEMBERS No. 45-96 INVESTMENT ADVISER ASSOCIATE MEMBERS No. 44...

1 See Memorandum to Investment Advisers Committee No. 20-96, Operations Committee No. 21-96, SEC Rules Committee No. 93-96, Transfer Agent Advisory Committee No. 54-96 and Abandoned Property Task Force, dated September 4, 1996. October 23, 1996 TO: INVESTMENT ADVISERS COMMITTEE No. 26...

October 15, 1996 TO: MEMBERS - ONE PER COMPLEX No. 75-96 SEC RULES MEMBERS No. 62-96 BANK INVESTMENT MANAGEMENT MEMBERS No. 25-96 CLOSED-END FUND MEMBERS No. 30-96 UNIT INVESTMENT TRUST MEMBERS No. 49-96 INVESTMENT ADVISER MEMBERS No. 43-96 INVESTMENT ADVISER ASSOCIATE MEMBERS No. 41...

October 7, 1996 TO: OPERATIONS COMMITTEE No. 26-96 TRANSFER AGENT ADVISORY COMMITTEE No. 57-96 RE: SERVICE STANDARDS SURVEY ______________________________________________________________________________ The Transfer Agent Advisory Committee recently established a task force to develop...

September 26, 1996 TO: OPERATIONS COMMITTEE No. 23-96 TRANSFER AGENT ADVISORY COMMITTEE No. 56-96 RE: BUSINESS RECOVERY SURVEY ______________________________________________________________________________ As we previously informed you, the Transfer Agent Advisory Committee recently...

September 10, 1996 TO: BROKER/DEALER ADVISORY COMMITTEE No. 17-96 BANK AND TRUST ADVISORY COMMITTEE No. 28-96 OPERATIONS MEMBERS No. 43-96 TRANSFER AGENT ADVISORY COMMITTEE No. 55-96 RE: NSCC IMPORTANT NOTICE ANNOUNCING FUND/SERV FUNCTIONALITY FOR FUND-TO-FUND TRANSFERS OF IRA...

September 4, 1996 TO: INVESTMENT ADVISERS COMMITTEE No. 20-96 OPERATIONS COMMITTEE No. 21-96 SEC RULES COMMITTEE No. 93-96 TRANSFER AGENT ADVISORY COMMITTEE No. 54-96 ABANDONED PROPERTY TASK FORCE RE: SEC PROPOSED RULES CONCERNING LOST SECURITYHOLDERS _________________________________...

1 See Institute Memorandum to Tax Members No. 33-96, Operations Members No. 36-96 and Transfer Agent Advisory Committee No. 46-96, dated August 6, 1996. 2 As suggested by the Institute, the "information contact" may be, for example, the department with the relevant information. August...

August 28, 1996 TO: TRANSFER AGENT ADVISORY COMMITTEE No. 52-96 RE: MEETINGS - NOVEMBER 6 AND 7, 1996 ______________________________________________________________________________ The next meeting of the Transfer Agent Advisory Committee will be held on Thursday, November 7, 1996...