March 3, 1995 TO: BANK BROKER/DEALER ADVISORY COMMITTEE No. 7-95 BROKER/DEALER ADVISORY COMMITTEE No. 8-95 DIRECT MARKETING COMMITTEE No. 15-95 HUMAN RESOURCES AND TRAINING WORKING GROUP No. 5-95 MARKETING POLICY COMMITTEE No. 18-95 MEMBERS - ONE PER COMPLEX No. 28-95 OPERATIONS...
1See Memorandum to Bank Broker/Dealer Advisory Committee No. 5-95, Broker/Dealer Advisory Committee No. 4-95, Direct Marketing Committee No. 7-95, Human Resources and Training Working Group No. 3-95, Marketing Policy Committee No. 10-95, Members - One Per Complex No. 18-95, Operations...
1See Memorandum to Bank Broker/Dealer Advisory Committee No. 26-94, Broker/Dealer Advisory Committee No. 23-94, Direct Marketing Committee No. 33-94, Human Resources and Training Working Group No. 12-94, Marketing Policy Committee No. 49-94, Members - One Per Complex No. 89-94...
February 1, 1995 TO: BANK BROKER/DEALER ADVISORY COMMITTEE No. 3-95 BROKER/DEALER ADVISORY COMMITTEE No. 3-95 OPERATIONS COMMITTEE No. 4-95 TRANSFER AGENT ADVISORY COMMITTEE No. 10-95 RE: INSTITUTE LETTER TO SEC STAFF ON THE OPERATIONAL BURDENS OF THE NON-SIPC STATUS DISCLOSURE...
1 See Memorandum to Bank Broker/Dealer Advisory Committee No. 30-94, Operations Committee No. 36-94, dated December 20, 1994. February 1, 1995 TO: BANK BROKER/DEALER ADVISORY COMMITTEE No. 4-95 OPERATIONS COMMITTEE No. 5-95 RE: DRAFT INSTITUTE COMMENT LETTER ON NASD’S PROPOSED BANK...
January 24, 1995 TO: BANK BROKER/DEALER ADVISORY COMMITTEE No. 2-95 RE: COMMITTEE MEETINGS - APRIL 21, 1995 & JUNE 27, 1995 KANSAS CITY ROYALS GAME ______________________________________________________________________________ The next two meetings of the Bank Broker/Dealer Advisory...
December 22, 1994 TO: BANK BROKER/DEALER ADVISORY COMMITTEE No. 31-94 RE: JANUARY 10, 1995 MEETING AGENDA ______________________________________________________________________________ Enclosed please find the agenda for the January 10, 1995 meeting of the Bank Broker/Dealer Advisory...
December 20, 1994 TO: BANK BROKER/DEALER ADVISORY COMMITTEE No. 29-94 OPERATIONS COMMITTEE No. 35-94 RE: OCC'S REQUEST FOR EXAMPLES OF DUPLICATIVE OR INCONSISTENT REGULATION ______________________________________________________________________________
December 20, 1994 TO: BANK BROKER/DEALER ADVISORY COMMITTEE No. 30-94 OPERATIONS COMMITTEE No. 36-94 RE: PROPOSED NASD RULES CONCERNING BANK BROKER-DEALER ACTIVITIES ______________________________________________________________________________ The National Association of Securities...
