Transfer Agent Advisory Content

April 22, 1994 TO: ACCOUNTING/TREASURERS COMMITTEE NO. 18-94 CLOSED-END FUND MEMBERS NO. 10-94 INVESTMENT ADVISER ASSOCIATE MEMBERS NO. 16-94 INVESTMENT ADVISER MEMBERS NO. 18-94 MEMBERS - ONE PER COMPLEX NO. 26-94 OPERATIONS MEMBERS NO. 13-94 SEC RULES MEMBERS NO. 27-94 SMALL FUNDS...

April 15, 1994 TO: TRANSFER AGENT ADVISORY COMMITTEE NO. 15-94 RE: MEETING - APRIL 27, 1994 __________________________________________________________ Attached is the agenda for the Transfer Agent Advisory Committee meeting on April 27, 1994. The meeting will be held at the Investment...

April 14, 1994 TO: OPERATIONS MEMBERS NO. 12-94 TAX MEMBERS NO. 14-94 TRANSFER AGENT ADVISORY COMMITTEE NO. 14-94 RE: IRS PROPOSED CHANGES TO SUBSTITUTE FORM 1099 REQUIREMENTS __________________________________________________________ In the attached announcement, the Internal Revenue...

April 8, 1994 TO: OPERATIONS MEMBERS NO. 11-94 PENSION MEMBERS NO. 9-94 TRANSFER AGENT ADVISORY COMMITTEE NO. 13-94 RE: 1994 IRS FORM 1099-R AND INSTRUCTIONS __________________________________________________________ Attached is a copy of the 1994 Internal Revenue Service Form 1099-R...

March 29, 1994 TO: OPERATIONS MEMBERS NO. 9-94 TAX MEMBERS NO. 10-94 TRANSFER AGENT ADVISORY COMMITTEE NO. 12-94 RE: IRS TAXPAYER IDENTIFICATION NUMBER MATCHING PROGRAM __________________________________________________________ As you may know, the Internal Revenue Service ("IRS") has...

1 In 1991, the NASD amended its Rules of Fair Practice to require confirmation disclosure of the imposition of a deferred sales load upon redemptions of mutual fund shares, where applicable. March 23, 1994 TO: OPERATIONS COMMITTEE NO. 8-94 SEC RULES COMMITTEE NO. 38-94 TRANSFER AGENT...

March 18, 1994 TO: BROKER/DEALER ASSOCIATE MEMBERS NO. 5-94 COMPLIANCE COMMITTEE NO. 7-94 OPERATIONS MEMBERS NO. 8-94 PENSION MEMBERS NO. 7-94 SEC RULES MEMBERS NO. 15-94 TRANSFER AGENT ADVISORY COMMITTEE NO. 10-94 RE: IRS OFFERS ASSISTANCE IN LOCATING MISSING INDIVIDUALS ____________...

1 See Institute Memorandum to Tax Committee No. 2-91, dated January 30, 1991. 2 As we previously informed you, this proposal has been included in a more expansive form in several recent tax simplification packages, two of which were vetoed in 1992 by President Bush. See, e.g...

March 4, 1994 TO: OPERATIONS MEMBERS NO. 7-94 PENSION MEMBERS NO. 6-94 TRANSFER AGENT ADVISORY COMMITTEE NO. 8-94 RE: INTERNAL REVENUE SERVICE CLARIFIES RULES FOR REPORTING DIRECT ROLLOVERS __________________________________________________________ As we previously reported, IRS...

March 1, 1994 TO: TRANSFER AGENT ADVISORY COMMITTEE NO. 7-94 RE: NOTICE OF COMMITTEE MEETING - APRIL 27, 1994 __________________________________________________________ There will be a meeting of the Transfer Agent Advisory Committee on Wednesday, April 27, 1994 at the Investment...