Transfer Agent Advisory Content

September 30, 1992 TO: PENSION MEMBERS NO. 23-92 OPERATIONS MEMBERS NO. 33-92 TRANSFER AGENT ADVISORY COMMITTEE NO. 53-92 RE: PENSION PROVISIONS OF SENATE TAX BILL __________________________________________________________ The Senate late yesterday approved its version of H.R. 11...

11/ In many cases, the changes made by the final regulations reflect comments made by the Small Business Administration. 22/ Thus, for example, while a payor might have an obligation to deposit on Day 2 amounts withheld pursuant to backup withholding on Day 1, because the amount...

September 2, 1992 TO: TRANSFER AGENT ADVISORY COMMITTEE NO. 49-92 RE: NOTICE OF MEETING - OCTOBER 15, 1992 __________________________________________________________ This is to advise you that there will be a meeting of the Transfer Agent Advisory Committee on Thursday, October 15...

September 2, 1992 TO: OPERATIONS COMMITTEE NO. 30-92 TRANSFER AGENT ADVISORY COMMITTEE NO. 50-92 RE: SIGNATURE GUARANTEE POLICIES & PROCEDURES UNDER RULE 17Ad-15 __________________________________________________________ Several months ago the Institute requested that the Operations...

August 28, 1992 TO: OPERATIONS COMMITTEE NO. 29-92 SEC RULES COMMITTEE NO. 64-92 TRANSFER AGENT ADVISORY COMMITTEE NO. 48-92 UNIT INVESTMENT TRUST COMMITTEE NO. 48-92 RE: INSTITUTE SUBMITS REQUEST FOR INTERPRETATION OF CONFIRMATION DELIVERY REQUIREMENTS UNDER RULE 10b-10 _____________...

August 24, 1992 TO: OPERATIONS COMMITTEE NO. 27-92 TRANSFER AGENT ADVISORY COMMITTEE NO. 47-92 RE: ICI MUTUAL INSURANCE COMPANY COVERAGE FOR TELEFACSIMILE TRANSACTIONS __________________________________________________________ ICI Mutual Insurance Company ("ICI Mutual"), the...

August 19, 1992 TO: STATE LIAISON COMMITTEE NO. 30-92 SEC RULES COMMITTEE NO. 61-92 TRANSFER AGENT ADVISORY COMMITTEE NO. 46-92 RE: INSTITUTE SUBMITS FOLLOW-UP LETTER TO NASAA COMMITTEE ON TELEPHONE EXCHANGE/REDEMPTION SERVICE __________________________________________________________...

August 17, 1992 TO: OPERATIONS COMMITTEE NO. 26-92 SEC RULES COMMITTEE NO. 59-92 TRANSFER AGENT ADVISORY COMMITTEE NO. 45-92 UNIT INVESTMENT TRUST COMMITTEE NO. 43-92 RE: INSTITUTE REQUEST FOR INTERPRETATION OF CONFIRMATION DELIVERY REQUIREMENTS UNDER RULE 10b-10 _____________________...

August 14, 1992 TO: TAX COMMITTEE NO. 32-92 OPERATIONS COMMITTEE NO. 25-92 TRANSFER AGENT ADVISORY COMMITTEE NO. 44-92 RE: IRS REVENUE PROCEDURE ON USE OF ACCOUNT STATEMENTS TO SUBSTANTIATE FEDERAL TAX DEDUCTIONS __________________________________________________________ The Internal...

August 5, 1992 TO: TAX MEMBERS NO. 50-92 OPERATIONS MEMBERS NO. 29-92 TRANSFER AGENT ADVISORY COMMITTEE NO. 43-92 RE: IRS ANNOUNCES PENALTY PROGRAM FOR 1990 INFORMATION RETURNS __________________________________________________________ The attached Internal Revenue Service...