Broker/Dealer Advisory Content

[17478] May 7, 2004 TO: 529 PLAN ADVISORY COMMITTEE No. 18-04 BANK AND TRUST ADVISORY COMMITTEE No. 11-04 BROKER/DEALER ADVISORY COMMITTEE No. 16-04 OPERATIONS COMMITTEE No. 9-04 PENSION COMMITTEE No. 25-04 PENSION OPERATIONS ADVISORY COMMITTEE No. 36-04 SEC RULES COMMITTEE No. 41-04...

[17470] May 6, 2004 TO: BROKER/DEALER ADVISORY COMMITTEE No. 15-04 RE: SEC APPROVES NASD RULES RELATING TO BUSINESS CONTINUITY PLANNING The Securities and Exchange Commission (“SEC”) recently announced its approval of the NASD’s proposed rule changes relating to business continuity...

ACTION REQUESTED [17438] April 28, 2004 TO: BANK AND TRUST ADVISORY COMMITTEE No. 9-04BOARD OF GOVERNORS No. 32-04BROKER/DEALER ADVISORY COMMITTEE No. 14-04COMPLIANCE ADVISORY COMMITTEE No. 44-04OPERATIONS MEMBERS No. 20-04SEC RULES MEMBERS No. 63-04SHAREHOLDER COMMUNICATIONS...

ACTION REQUESTED [17401] April 19, 2004 TO: BANK AND TRUST ADVISORY COMMITTEE No. 8-04 BROKER/DEALER ADVISORY COMMITTEE No. 13-04 OPERATIONS COMMITTEE No. 7-04 PENSION COMMITTEE No. 20-04 PENSION OPERATIONS ADVISORY COMMITTEE No. 32-04 SEC RULES COMMITTEE No. 36-04 SMALL FUNDS...

[17384] April 14, 2004 TO: BROKER/DEALER ADVISORY COMMITTEE No. 12-04 OPERATIONS MEMBERS No. 18-04 SEC RULES MEMBERS No. 57-04 SMALL FUNDS MEMBERS No. 42-04 TECHNOLOGY ADVISORY COMMITTEE No. 9-04 RE: INSTITUTE COMMENT LETTER ON SEC PROPOSED CONFIRMATION AND POINT OF SALE DISCLOSURE...

[17353] April 5, 2004 TO: BANK AND TRUST ADVISORY COMMITTEE No. 6-04BOARD OF GOVERNORS No. 28-04BROKER/DEALER ADVISORY COMMITTEE No. 11-04COMPLIANCE ADVISORY COMMITTEE No. 41-04OPERATIONS MEMBERS No. 17-04SEC RULES MEMBERS No. 51-04SHAREHOLDER COMMUNICATIONS COMMITTEE No. 6-04SMALL...

[17340] April 2, 2004 TO: BROKER/DEALER ADVISORY COMMITTEE No. 10-04 COMPLIANCE ADVISORY COMMITTEE No. 39-04 OPERATIONS MEMBERS No. 16-04 SEC RULES MEMBERS No. 48-04 TRANSFER AGENT ADVISORY COMMITTEE No. 30-04 RE: NASD ISSUES MEMBER ALERT RELATING TO FACILITATING REFUNDS OF MISSED...

[17250] March 19, 2004 TO: BROKER/DEALER ADVISORY COMMITTEE No. 9-04 RE: BDAC MEETING NOTICE - MAY 18, 2004 The next meeting of the Broker/Dealer Advisory Committee will be held on May 18 at the Washington Hilton Hotel and Towers in Washington, DC. The meeting will begin at 9:00 am...

[17171] March 8, 2004 TO: BANK AND TRUST ADVISORY COMMITTEE No. 5-04 BROKER/DEALER ADVISORY COMMITTEE No. 8-04 OPERATIONS COMMITTEE No. 4-04 PENSION COMMITTEE No. 12-04 PENSION OPERATIONS ADVISORY COMMITTEE No. 22-04 SEC RULES COMMITTEE No. 22-04 SMALL FUNDS COMMITTEE No. 17-04 TAX...

[17172] March 3, 2004 TO: OPERATIONS COMMITTEE No. 3-04 BROKER/DEALER ADVISORY COMMITTEE No. 7-04 BANK AND TRUST ADVISORY COMMITTEE No. 4-04 TRANSFER AGENT ADVISORY COMMITTEE No. 24-04 RE: SEC AND NASD PROPOSE TO PROHIBIT USE OF BROKERAGE COMMISSIONS TO FINANCE DISTRIBUTION; SEC SEEKS...