Transfer Agent Advisory Content

January 15, 1993 TO: OPERATIONS COMMITTEE NO. 1-93 SEC RULES COMMITTEE NO. 5-93 STATE LIAISON COMMITTEE NO. 1-93 TRANSFER AGENT ADVISORY COMMITTEE NO. 4-93 RE: NASAA ISSUES PROPOSED TELEPHONE TRANSACTIONS GUIDELINES FOR PUBLIC COMMENT __________________________________________________...

January 15, 1993 TO: BROKER/DEALER ADVISORY COMMITTEE NO. 3-93 OPERATIONS MEMBERS NO. 6-93 SEC RULES MEMBERS NO. 8-93 SMALL FUNDS MEMBERS NO. 1-93 TRANSFER AGENT ADVISORY COMMITTEE NO. 5-93 UNIT INVESTMENT TRUST MEMBERS NO. 5-93 RE: SEC STAFF ISSUES FAVORABLE RESPONSE TO INSTITUTE...

11/ See Institute Memorandum to Tax Members No. 65-92, Accounting/Treasurers Members No. 37-92, Closed-End Fund Members No. 37-92, Operations Members No. 37-92, Unit Investment Trust Members No. 50-92, International Members No. 22-92 and Transfer Agent Advisory Committee No. 58-92...

January 8, 1993 TO: MEMBERS - ONE PER COMPLEX NO. 2-93 ACCOUNTING/TREASURERS COMMITTEE NO. 3-93 DIRECT MARKETING COMMITTEE NO. 2-93 MARKETING POLICY COMMITTEE NO. 2-93 PUBLIC INFORMATION COMMITTEE NO. 1-93 SALES FORCE MARKETING COMMITTEE NO. 2-93 SHAREHOLDER COMMUNICATIONS COMMITTEE...

January 7, 1993 TO: STATE SECURITIES MEMBERS NO. 1-93 OPERATIONS MEMBERS NO. 1-93 TRANSFER AGENT ADVISORY COMMITTEE NO. 1-93 RE: MARYLAND ISSUES NO-ACTION LETTER ON SMALL ACCOUNT REDEMPTION DISCLOSURE __________________________________________________________ As we previously advised...

December 31, 1992 TO: TAX MEMBERS NO. 82-92 ACCOUNTING/TREASURERS MEMBERS NO. 47-92 OPERATIONS MEMBERS NO. 53-92 TRANSFER AGENT ADVISORY COMMITTEE NO. 77-92 RE: NOTICE CLARIFIES INCREASE IN BACKUP WITHHOLDING RATE __________________________________________________________ As the...

December 29, 1992 TO: PENSION MEMBERS NO. 38-92 OPERATIONS MEMBERS NO. 52-92 TRANSFER AGENT ADVISORY COMMITTEE NO. 76-92 RE: IRS NOTICE CONCERNING APPLICATION OF TWENTY-PERCENT WITHHOLDING TO PLAN LOANS __________________________________________________________ Attached is a copy of...

December 17, 1992 TO: STATE SECURITIES MEMBERS NO. 46-92 OPERATIONS MEMBERS NO. 51-92 TRANSFER AGENT ADVISORY COMMITTEE NO. 75-92 RE: INSTITUTE REQUESTS NO-ACTION POSITION FROM MARYLAND FOR SMALL ACCOUNT REDEMPTION __________________________________________________________ As you may...

December 14, 1992 TO: TAX MEMBERS NO. 79-92 OPERATIONS MEMBERS NO. 50-92 UNIT INVESTMENT TRUST MEMBERS NO. 63-92 CLOSED-END FUND MEMBERS NO. 52-92 TRANSFER AGENT ADVISORY COMMITTEE NO. 74-92 RE: IRS REVENUE PROCEDURE ON FURNISHING CERTAIN QUARTERLY RETURN INFORMATION ON MAGNETIC TAPE...

December 1, 1992 TO: MEMBERS - ONE PER COMPLEX NO. 44-92 TAX COMMITTEE NO. 44-92 PENSION COMMITTEE NO. 42-92 OPERATIONS COMMITTEE NO. 35-92 TRANSFER AGENT ADVISORY COMMITTEE NO. 73-92 RE: REMINDER - SAN FRANCISCO WORKSHOP ON 20 PERCENT WITHHOLDING _____________________________________...