Broker/Dealer Advisory Content

[18569] February 25, 2005 TO: BROKER/DEALER ADVISORY COMMITTEE No. 4-05 BROKER/DEALER ASSOCIATE MEMBERS No. 1-05 CHIEF COMPLIANCE OFFICER COMMITTEE No. 18-05 COMPLIANCE ADVISORY COMMITTEE No. 17-05 SEC RULES MEMBERS No. 32-05 SMALL FUNDS MEMBERS No. 19-05 RE: NASD ACTION AGAINST...

[18531] February 10, 2005 TO: BANK AND TRUST ADVISORY COMMITTEE No. 2-05 BROKER/DEALER ADVISORY COMMITTEE No. 3-05 OPERATIONS COMMITTEE No. 1-05 TRANSFER AGENT ADVISORY COMMITTEE No. 3-05 SMALL FUNDS COMMITTEE No. 3-05 RE: INSTITUTE URGES VOLUNTARY IMPLEMENTATION OF CENTRAL BREAKPOINT...

[18509] February 7, 2005 TO: BROKER/DEALER ADVISORY COMMITTEE No. 2-05 RE: BDAC MEETING NOTICE - MARCH 21 AND 22, 2005 The next meeting of the Broker/Dealer Advisory Committee will be held on Monday, March 21 and Tuesday, March 22, 2005 at the Investment Company Institute in the David...

[18418] January 14, 2005 TO: BROKER/DEALER ADVISORY COMMITTEE No. 1-05 RE: BDAC MEETING SUMMARY — SEPTEMBER 22, 2004 Attached is a summary of the Broker/Dealer Advisory Committee meeting held on September 22, 2004 at Goldman Sachs in New York, NY. Please contact me at 202-326-5930 or...

[18341] December 16, 2004 TO: BROKER/DEALER ADVISORY COMMITTEE No. 32-04 RE: BDAC MEETING NOTICE - JANUARY 27, 2005 The next meeting of the Broker/Dealer Advisory Committee will be held on Thursday, January 27, 2005 at the Edward D. Jones Training Center, Room 148, located at 8333 S...

[18338] December 15, 2004 TO: BROKER/DEALER ADVISORY COMMITTEE No. 31-04 OPERATIONS MEMBERS No. 37-04 SEC RULES MEMBERS No. 175-04 SMALL FUNDS MEMBERS No. 129-04 TRANSFER AGENT ADVISORY COMMITTEE No. 84-04 RE: SUPPLEMENTAL ICI COMMENT LETTER ON PROPOSED AMENDMENTS TO FORM N-1A...

[18287] December 2, 2004 TO: BOARD OF GOVERNORS No. 82-04 CEOS BROKER/DEALER ADVISORY COMMITTEE No. 30-04 OPERATIONS COMMITTEE No. 22-04 SEC RULES COMMITTEE No. 95-04 SMALL FUNDS COMMITTEE No. 51-04 TRANSFER AGENT ADVISORY COMMITTEE No. 81-04 CHIEF COMPLIANCE OFFICER COMMITTEE No. 32...

[18149] November 1, 2004 TO: BROKER/DEALER ADVISORY COMMITTEE No. 29-04 RE: MARK YOUR CALENDAR - 2005 BDAC MEETING SCHEDULE Please mark your calendar for the following Broker/Dealer Advisory Committee meetings scheduled for 2005: January 27 Tempe, AZ (Hosted by Edward D. Jones) May 19...

[18089] October 11, 2004 TO: BROKER/DEALER ADVISORY COMMITTEE No. 28-04 BROKER/DEALER ASSOCIATE MEMBERS No. 5-04 CHIEF COMPLIANCE OFFICER COMMITTEE No. 13-04 COMPLIANCE ADVISORY COMMITTEE No. 97-04 SEC RULES MEMBERS No. 150-04 SMALL FUNDS MEMBERS No. 111-04 RE: NASD SANCTIONS MUTUAL...

[18051] September 29, 2004 TO: BROKER/DEALER ADVISORY COMMITTEE No. 27-04 RE: BDAC MEETING SUMMARY - MAY 18, 2004 Attached is a summary of the Broker/Dealer Advisory Committee meeting held on May 18, 2004 in Washington, D.C. Please contact me at 202-326-5930 or kjoaquin@ici.org if you...