Broker/Dealer Advisory Content

    [20885]   February 20, 2007 TO: COMPLIANCE MEMBERS No. 9-07 BROKER/DEALER ADVISORY COMMITTEE No. 13-07 SALES FORCE MARKETING COMMITTEE No. 2-07 SEC RULES MEMBERS No. 22-07 SMALL FUNDS MEMBERS No. 17-07     RE: NASD SANCTIONS THREE BROKER-DEALERS FOR VIOLATIONS OF THE NON-CASH...

    [20883]   February 20, 2007 TO: BANK, TRUST AND RECORDKEEPER ADVISORY COMMITTEE No. 8-07 BROKER/DEALER ADVISORY COMMITTEE No. 12-07 OPERATIONS COMMITTEE No. 2-07 PENSION OPERATIONS ADVISORY COMMITTEE No. 7-07 SMALL FUNDS COMMITTEE No. 5-07 TRANSFER AGENT ADVISORY COMMITTEE No. 11...

    [20880]   February 16, 2007 TO: BANK, TRUST AND RECORDKEEPER ADVISORY COMMITTEE No. 7-07 BROKER/DEALER ADVISORY COMMITTEE No. 11-07 OPERATIONS MEMBERS No. 8-07 TAX MEMBERS No. 10-07 TRANSFER AGENT ADVISORY COMMITTEE No. 10-07     RE: SENATE BILL WOULD EXTEND REPORTING DEADLINE FOR...

    [20859]   February 9, 2007 TO: SEC RULES MEMBERS No. 16-07 OPERATIONS MEMBERS No. 7-07 BROKER/DEALER ADVISORY COMMITTEE No. 10-07 BANK, TRUST AND RECORDKEEPER ADVISORY COMMITTEE No. 5-07 TRANSFER AGENT ADVISORY COMMITTEE No. 9-07 SMALL FUNDS MEMBERS No. 16-07     RE: ICI...

    [20850]   February 7, 2007 TO: SEC RULES MEMBERS No. 15-07 COMPLIANCE MEMBERS No. 7-07 SMALL FUNDS MEMBERS No. 15-07 BROKER/DEALER ADVISORY COMMITTEE No. 9-07 TECHNOLOGY ADVISORY COMMITTEE No. 4-07     RE: NASD FINES FUND UNDERWRITER AND RELATED BROKER-DEALERS FOR REGISTRATION...

    [20844]   February 6, 2007 TO: 529 PLAN MEMBERS No. 1-07 BANK, TRUST AND RECORDKEEPER ADVISORY COMMITTEE No. 4-07 BROKER/DEALER ADVISORY COMMITTEE No. 8-07 FEDERAL LEGISLATION MEMBERS No. 1-07 OPERATIONS MEMBERS No. 6-07 PENSION MEMBERS No. 8-07 SMALL FUNDS MEMBERS No. 14-07 TAX...

    [20842]   February 5, 2007 TO: COMPLIANCE MEMBERS No. 6-07 SEC RULES MEMBERS No. 14-07 SMALL FUNDS MEMBERS No. 13-07 BROKER/DEALER ADVISORY COMMITTEE No. 7-07 BROKER/DEALER ASSOCIATE MEMBERS No. 2-07     RE: CALIFORNIA APPELLATE COURT HOLDS FEDERAL LAW DOES NOT PREEMPT STATE...

    [20840]   February 2, 2007 TO: BROKER/DEALER ADVISORY COMMITTEE No. 6-07     RE: BDAC MEETING NOTICE-MARCH 21-22, 2007   The next meeting of the Broker/Dealer Advisory Committee will take place on Wednesday, March 21 and Thursday, March 22, 2007 at the Janus Capital Group offices...

[20834] February 1, 2007 TO: SEC RULES MEMBERS No. 11-07 OPERATIONS MEMBERS No. 4-07 BROKER/DEALER ADVISORY COMMITTEE No. 5-07 BANK, TRUST AND RECORDKEEPER ADVISORY COMMITTEE No. 3-07 TRANSFER AGENT ADVISORY COMMITTEE No. 7-07 SMALL FUNDS MEMBERS No. 11-07 RE: SEC GRANTS LIMITED NO...

    [20787]   January 16, 2007 TO: BROKER/DEALER ADVISORY COMMITTEE No. 4-07 BROKER/DEALER ASSOCIATE MEMBERS No. 1-07 CLOSED-END INVESTMENT COMPANY MEMBERS No. 6-07 COMPLIANCE MEMBERS No. 2-07 SEC RULES MEMBERS No. 7-07 SMALL FUNDS MEMBERS No. 7-07     RE: UPDATE ON RECENT MUTUAL FUND...