Transfer Agent Advisory Content

- 1 - September 27, 1991 TO: MEMBERS - ONE PER COMPLEX NO. 45-91 OPERATIONS COMMITTEE NO. 30-91 TRANSFER AGENT ADVISORY COMMITTEE NO. 45-91 SMALL FUNDS MEMBERS NO. 12-91 RE: 1991 ICI/C&L MUTUAL FUNDS TRANSFER AGENT FEE SURVEY __________________________________________________________...

1 */ No change has been made to Temp. Treas. Reg. section 35a.3406-1(f)(1), which provides that a payor shall treat the receipt of two or more notices in a calendar year with respect to a payee as the receipt of one notice for purposes of this rule. September 24, 1991 TO: TAX MEMBERS...

September 20, 1991 TO: SEC RULES COMMITTEE NO. 57-91 OPERATIONS COMMITTEE NO. 28-91 TRANSFER AGENT ADVISORY COMMITTEE NO. 43-91 RE: SEC PROPOSAL CONCERNING TRANSFER AGENT RESPONSIBILITIES FOR ACCEPTING SIGNATURE GUARANTEES FROM ELIGIBLE GUARANTOR INSTITUTIONS _________________________...

REVISED September 24, 1991 TO: BOARD OF GOVERNORS NO. 71-91 TAX MEMBERS NO. 38-91 OPERATIONS MEMBERS NO. 22-91 CLOSED-END FUND MEMBERS NO. 40-91 UNIT INVESTMENT TRUST MEMBERS NO. 39-91 ACCOUNTING/TREASURERS MEMBERS NO. 26-91 TRANSFER AGENT ADVISORY COMMITTEE NO. 42-91 RE: INSTITUTE...

September 12, 1991 TO: TAX COMMITTEE NO. 29-91 OPERATIONS COMMITTEE NO. 27-91 TRANSFER AGENT ADVISORY COMMITTEE NO. 41-91 RE: INSTITUTE TESTIFIES ON INFORMATION REPORTING PENALTY REGULATIONS AND THE REASONABLE CAUSE WAIVER __________________________________________________________ As...

September 11, 1991 TO: TRANSFER AGENT ADVISORY COMMITTEE NO. 40-91 RE: MEETING AGENDA - SEPTEMBER 19, 1991 __________________________________________________________ Attached is the agenda for the Transfer Agent Advisory Committee meeting starting at 9:30 a.m. on Thursday, September...

August 28, 1991 TO: TRANSFER AGENT ADVISORY COMMITTEE NO. 39-91 RE: STATUS OF COMMITTEE PROJECTS __________________________________________________________ The status of each of the Transfer Agent Advisory Committee's (TAAC) projects, as reported at the June 19, 1991 meeting, are...

August 19, 1991 TO: PENSION MEMBERS NO. 32-91 OPERATIONS MEMBERS NO. 21-91 INVESTMENT ADVISER MEMBERS NO. 34-91 INVESTMENT ADVISER ASSOCIATE MEMBERS NO. 33-91 TAX MEMBERS NO. 34-91 ACCOUNTING/TREASURERS MEMBERS NO. 23-91 MEMBERS INTERESTED IN PUBLIC INFORMATION NO. 14-91 MEMBERS - ONE...

August 12, 1991 TO: OPERATIONS COMMITTEE NO. 25-91 TRANSFER AGENT ADVISORY COMMITTEE NO. 37-91 RE: RESULTS OF SHAREHOLDER CONFIRMATION SURVEY __________________________________________________________ We have completed the shareholder confirmation survey and highlights of the results...

July 31, 1991 TO: TAX COMMITTEE NO. 25-91 OPERATIONS COMMITTEE NO. 24-91 TRANSFER AGENT ADVISORY COMMITTEE NO. 36-91 RE: IRS ANNOUNCES HEARING ON REGULATIONS CONCERNING INFORMATION REPORTING PENALTIES AND THE REASONABLE CAUSE WAIVER ____________________________________________________...