What people are saying - Write a review
We haven't found any reviews in the usual places.
TABLE OF CONTENTS
Other Disclosure f 108
Transfer Agents 11 118
4 other sections not shown
2000 compliant 2000 readiness addition address Year 2000 advisers and funds advisers and investment AICPA amendments assessment assets audit auditor avoid Year 2000 broker or dealer broker-dealers clients Commission staff Commission's company's Year 2000 complete computer systems contingency planning costs December 31 discussion effect embedded systems estimated evaluate Exchange Act financial condition financial statements firms Form 8-K Form ADV-Y2K forward-looking statement identify implementation industry-wide testing internal interpretive release investors issues Item March 15 markets MD&A minimum net capital mission critical municipal issuers mutual funds NASD non-bank transfer agents NYSE participants potential Year 2000 preparing problems progress Proposing Release public companies registered investment registration statements Regulation S-K required to file response results of operations revised Staff Legal risks SEC's Section Securities Act securities industry service providers SROs Staff Legal Bulletin statutory safe harbors survey Task Force third parties tion vendors