Transfer Agent Advisory Content

April 18, 1996 TO: BANK AND TRUST ADVISORY COMMITTEE No. 10-96 BROKER/DEALER ADVISORY COMMITTEE No. 6-96 OPERATIONS MEMBERS No. 17-96 TRANSFER AGENT ADVISORY COMMITTEE No. 21-96 RE: NSCC SYSTEM SERVICES MANAGEMENT WORKSHOP ______________________________________________________________...

1 For example, where an “established customer” (as defined in the rules) of a non-bank financial institution originates a transmittal order, the institution must keep the following information: (1) the name and address of the transmittor; (2) the amount and execution date of the...

April 11, 1996 TO: ACCOUNTING/TREASURERS COMMITTEE No. 13-96 CLOSED-END FUND MEMBERS No. 6-96 INVESTMENT ADVISER ASSOCIATE MEMBERS No. 8-96 INVESTMENT ADVISER MEMBERS No. 9-96 MEMBERS - ONE PER COMPLEX No. 28-96 OPERATIONS MEMBERS No. 16-96 SEC RULES MEMBERS No. 17-96 SMALL FUNDS...

April 10, 1996 TO: OPERATIONS MEMBERS No. 15-96 TRANSFER AGENT ADVISORY COMMITTEE No. 18-96 RE: GIFTS OF MUTUAL FUND SHARES ______________________________________________________________________________ The Institute
s Transfer Agent Advisory Committee recently completed a project to...

April 9, 1996 TO: TRANSFER AGENT ADVISORY COMMITTEE No. 17-96 RE: APRIL 24, 1996 MEETING AGENDA ______________________________________________________________________________ Attached is the agenda for the April 24 meeting of the Transfer Agent Advisory Committee. The meeting will...

April 4, 1996 TO: MEMBERS - ONE PER COMPLEX No. 26-96 OPERATIONS MEMBERS No. 13-96 TRANSFER AGENT ADVISORY COMMITTEE No. 16-96 RE: TREASURY DEPARTMENT’S OFFICE OF FOREIGN ASSETS CONTROL - REGULATIONS FOR THE SECURITIES INDUSTRY _________________________________________________________...

1 See Institute Memorandum to Tax Committee No. 4-96, Operations Committee No. 2-96 and Transfer Agent Advisory Committee No. 5-96, dated January 25, 1996. 2 See Institute Memorandum to Pension Members No. 47-95, Operations Committee No. 33-95 and Transfer Agent Advisory Committee No...

March 19, 1996 TO: MEMBERS - ONE PER COMPLEX No. 24-96 OPERATIONS MEMBERS No. 11-96 TRANSFER AGENT ADVISORY COMMITTEE No. 14-96 RE: TREASURY LETTER ON TRANSACTIONS WITH "SPECIALLY DESIGNATED NARCOTICS TRAFFICKERS" _______________________________________________________________________...

March 7, 1996 TO: TRANSFER AGENT ADVISORY COMMITTEE No. 13-96 RE: NEXT MEETING- APRIL 24, 1996 ______________________________________________________________________________ There will be a meeting of the Transfer Agent Advisory Committee on Wednesday, April 24, 1996 at the offices of...

March 6, 1996 TO: TAX COMMITTEE No. 9-96 ACCOUNTING/TREASURERS COMMITTEE No. 11-96 UNIT INVESTMENT TRUST COMMITTEE No. 8-96 TRANSFER AGENT ADVISORY COMMITTEE No. 12-96 RE: IRS AND TREASURY RELEASE 1996 BUSINESS PLAN _____________________________________________________________________...