Broker/Dealer Advisory Content

[18011] September 20, 2004 TO: BOARD OF GOVERNORS No. 58-04 BROKER/DEALER ADVISORY COMMITTEE No. 26-04 CHIEF COMPLIANCE OFFICER COMMITTEE No. 7-04 COMPLIANCE ADVISORY COMMITTEE No. 90-04 PRIMARY CONTACTS - MEMBER COMPLEX No. 83-04 SEC RULES MEMBERS No. 136-04 SMALL FUNDS MEMBERS No...

[17930] August 31, 2004 TO: BOARD OF GOVERNORS No. 55-04 BROKER/DEALER ADVISORY COMMITTEE No. 25-04 BROKER/DEALER ASSOCIATE MEMBERS No. 4-04 COMPLIANCE ADVISORY COMMITTEE No. 84-04 PRIMARY CONTACTS - BROKER DEALER ASSOCIATE MEMBERS PRIMARY CONTACTS - MEMBER COMPLEX No. 79-04 SEC RULES...

[17862] August 5, 2004 TO: ACCOUNTING/TREASURERS COMMITTEE No. 26-04 BANK AND TRUST ADVISORY COMMITTEE No. 17-04 BROKER/DEALER ADVISORY COMMITTEE No. 24-04 CLOSED-END INVESTMENT COMPANY COMMITTEE No. 32-04 OPERATIONS COMMITTEE No. 18-04 TAX COMMITTEE No. 25-04 TRANSFER AGENT ADVISORY...

[17799] July 22, 2004 TO: OPERATIONS COMMITTEE No. 14-04 TRANSFER AGENT ADVISORY COMMITTEE No. 63-04 BROKER/DEALER ADVISORY COMMITTEE No. 22-04 BANK AND TRUST ADVISORY COMMITTEE No. 15-04 RE: STAMP/SEMP PROGRAM UPDATE STAMP Inc. and Kemark Financial Services have issued the attached...

[17800] July 22, 2004 TO: BROKER/DEALER ADVISORY COMMITTEE No. 23-04 RE: BDAC MEETING NOTICE - SEPTEMBER 22, 2004 The next meeting of the Broker/Dealer Advisory Committee will take place on Wednesday, September 22, 2004 at Goldman Sachs located at 32 Old Slip, New York, NY. The...

ACTION REQUESTED [17745] July 1, 2004 TO: OPERATIONS COMMITTEE No. 13-04 BANK AND TRUST ADVISORY COMMITTEE No. 14-04 BROKER/DEALER ADVISORY COMMITTEE No. 21-04 TRANSFER AGENT ADVISORY COMMITTEE No. 60-04 RE: INSTITUTE URGES IMPLEMENTATION OF NASD BREAKPOINT TASK FORCE RECOMMENDATION...

[17649] June 9, 2004 TO: ACCOUNTING/TREASURERS MEMBERS No. 24-04 BANK AND TRUST ADVISORY COMMITTEE No. 13-04 BOARD OF GOVERNORS No. 42-04 BROKER/DEALER ADVISORY COMMITTEE No. 20-04 CLOSED-END INVESTMENT COMPANY MEMBERS No. 40-04 OPERATIONS MEMBERS No. 24-04 PRIMARY CONTACTS - MEMBER...

[17620] June 3, 2004 TO: BROKER/DEALER ADVISORY COMMITTEE No. 19-04 RE: BDAC MEETING SUMMARY - FEBRUARY 11, 2004 Attached is a summary of the Broker/Dealer Advisory Committee meeting held on February 11, 2004 at Raymond James in St. Petersburg, FL. Please contact me at 202-326-5930 or...

[17559] May 20, 2004 TO: BROKER/DEALER ADVISORY COMMITTEE No. 18-04 COMPLIANCE ADVISORY COMMITTEE No. 53-04 INVESTMENT ADVISER MEMBERS No. 9-04 OPERATIONS COMMITTEE No. 10-04 SEC RULES MEMBERS No. 75-04 SMALL FUNDS MEMBERS No. 55-04 TRANSFER AGENT ADVISORY COMMITTEE No. 47-04 RE: SEC...

[17489] May 11, 2004 TO: BROKER/DEALER ADVISORY COMMITTEE No. 17-04 CLOSED-END INVESTMENT COMPANY MEMBERS No. 30-04 INTERNAL AUDIT ADVISORY COMMITTEE No. 6-04 OPERATIONS MEMBERS No. 23-04 SEC RULES MEMBERS No. 66-04 SMALL FUNDS MEMBERS No. 51-04 TECHNOLOGY ADVISORY COMMITTEE No. 12-04...