Transfer Agent Advisory Content

April 6, 1993 TO: TRANSFER AGENT ADVISORY COMMITTEE NO. 25-93 RE: RECORD RETENTION SCHEDULE __________________________________________________________ At the most recent meeting of the Transfer Agent Advisory Committee, certain members expressed an interest in sharing record retention...

March 31, 1993 TO: TRANSFER AGENT ADVISORY COMMITTEE NO. 24-93 RE: NOTICE OF MEETING - MAY 13, 1993 __________________________________________________________ This is to advise you that there will be a meeting of the Transfer Agent Advisory Committee on Thursday, May 13, 1993 at the...

March 23, 1993 TO: BOARD OF GOVERNORS NO. 23-93 OPERATIONS COMMITTEE NO. 13-93 BROKER/DEALER ADVISORY COMMITTEE NO. 13-93 TRANSFER AGENT ADVISORY COMMITTEE NO. 23-93 SMALL FUNDS COMMITTEE NO. 8-93 INSURANCE BROKER-DEALER ADVISORY COMMITTEE NO. 6-93 BANK BROKER/DEALER ADVISORY...

March 19, 1993 TO: OPERATIONS COMMITTEE NO. 12-93 SEC RULES COMMITTEE NO. 24-93 STATE LIAISON COMMITTEE NO. 16-93 TRANSFER AGENT ADVISORY COMMITTEE NO. 22-93 RE: UPDATE ON MEETING WITH NASAA COMMITTEE ON PROPOSED TELEPHONE TRANSACTION GUIDELINES _______________________________________...

March 17, 1993 TO: TAX COMMITTEE NO. 14-93 ACCOUNTING/TREASURERS COMMITTEE NO. 15-93 OPERATIONS COMMITTEE NO. 11-93 TRANSFER AGENT ADVISORY COMMITTEE NO. 21-93 RE: IRS EXTENDS MARCH 15 FILING DEADLINE FOR BLIZZARD VICTIMS __________________________________________________________ The...

March 11, 1993 TO: TAX COMMITTEE NO. 12-93 OPERATIONS COMMITTEE NO. 10-93 TRANSFER AGENT ADVISORY COMMITTEE NO. 20-93 RE: REQUEST FOR CLARIFICATION OF REPORTING REQUIREMENTS FOR SUBSTITUTE IRS FORMS 1099 __________________________________________________________ As you may know, a few...

March 5, 1993 TO: TAX MEMBERS NO. 10-93 OPERATIONS MEMBERS NO. 16-93 CLOSED-END FUND MEMBERS NO. 9-93 UNIT INVESTMENT TRUST MEMBERS NO. 11-93 ACCOUNTING/TREASURERS COMMITTEE NO. 12-93 TRANSFER AGENT ADVISORY COMMITTEE NO. 19-93 RE: REVENUE PROCEDURE FOR SUBMITTING FORM 1042S TO IRS __...

March 3, 1993 TO: SEC RULES COMMITTEE NO. 18-93 STATE LIAISON COMMITTEE NO. 12-93 TRANSFER AGENT ADVISORY COMMITTEE NO. 17-93 RE: INSTITUTE TESTIFIES BEFORE MARYLAND HOUSE COMMITTEE ON SMALL ACCOUNT REDEMPTION LEGISLATION __________________________________________________________ The...

March 3, 1993 TO: MEMBERS - ONE PER COMPLEX NO. 17-93 ACCOUNTING/TREASURERS COMMITTEE NO. 11-93 DIRECT MARKETING COMMITTEE NO. 17-93 MARKETING POLICY COMMITTEE NO. 14-93 PUBLIC INFORMATION COMMITTEE NO. 16-93 SALES FORCE MARKETING COMMITTEE NO. 18-93 SHAREHOLDER COMMUNICATIONS...

March 2, 1993 TO: BOARD OF GOVERNORS NO. 17-93 ACCOUNTING/TREASURERS COMMITTEE NO. 10-93 BANK BROKER/DEALER ADVISORY COMMITTEE NO. 5-93 BROKER/DEALER ADVISORY COMMITTEE NO. 9-93 CLOSED-END FUND COMMITTEE NO. 5-93 INSURANCE BROKER-DEALER ADVISORY COMMITTEE NO. 3-93 OPERATIONS COMMITTEE...