June 2, 1992
TO: BROKER/DEALER ADVISORY COMMITTEE NO. 19-92
RE: AGENDA AND MATERIALS FOR JUNE 22-23 MEETING
__________________________________________________________
The agenda for June 22-23 meeting is attached. The
following materials are enclosed:
1. Minutes of the prior meeting
2. Sample of Waddell & Reed’s tax reporting statements
3. ICI summary of SEC staff report on investment company
regulation
4. Current Committee list
5. A DTC brochure on FundSERV and Networking links
As the enclosed minutes reflect, Committee members were
requested to provide letters of commitment to NSCC in support of
the proposed commission settlement service. As very few letters
have been received to date by NSCC, please take the time to
provide NSCC with your letter prior to the meeting if you have
not already done so.
The Networking Agreement Task Force met last week and
thoroughly reviewed a revised draft of the proposed standard
agreement which reflected many of the comments submitted by Task
Force members and other Committee members. Additional changes
are now being made to the document based on the last week’s
meeting discussion. The revised agreement will be mailed to the
Committee prior to the June 22-23 meeting.
We look forward to seeing you in Washington later this
month.
Manny Hernandez Donald O’Connor
Chairman Vice President - Operations