Broker/Dealer Advisory Content

[17133] February 24, 2004 TO: BROKER/DEALER ADVISORY COMMITTEE No. 6-04 BANK AND TRUST ADVISORY COMMITTEE No. 3-04 TRANSFER AGENT ADVISORY COMMITTEE No. 22-04 OPERATIONS MEMBERS No. 13-04 TECHNOLOGY ADVISORY COMMITTEE No. 5-04 RE: SEC ADOPTS FUND AND ADVISER COMPLIANCE RULES The...

[17087] February 9, 2004 TO: ACCOUNTING/TREASURERS MEMBERS No. 5-04 BANK AND TRUST ADVISORY COMMITTEE No. 2-04 BROKER/DEALER ADVISORY COMMITTEE No. 5-04 PENSION MEMBERS No. 12-04 PENSION OPERATIONS ADVISORY COMMITTEE No. 13-04 OPERATIONS MEMBERS No. 9-04 TRANSFER AGENT ADVISORY...

[17059] February 4, 2004 TO: SEC RULES MEMBERS No. 15-04 SMALL FUNDS MEMBERS No. 9-04 UNIT INVESTMENT TRUST MEMBERS No. 4-04 PENSION MEMBERS No. 8-04 OPERATIONS MEMBERS No. 8-04 BROKER/DEALER ADVISORY COMMITTEE No. 4-04 TECHNOLOGY ADVISORY COMMITTEE No. 3-04 RE: NASD SUBMITS REPORT OF...

[17048] February 3, 2004 TO: BROKER/DEALER ADVISORY COMMITTEE No. 3-04 OPERATIONS MEMBERS No. 6-04 SEC RULES MEMBERS No. 14-04 SMALL FUNDS MEMBERS No. 8-04 TECHNOLOGY ADVISORY COMMITTEE No. 2-04 TRANSFER AGENT ADVISORY COMMITTEE No. 14-04 UNIT INVESTMENT TRUST MEMBERS No. 3-04 RE: SEC...

[16985] January 16, 2004 TO: BROKER/DEALER ADVISORY COMMITTEE No. 2-04 RE: BDAC MEETING SUMMARY - SEPTEMBER 2003 Attached is a summary of the Broker/Dealer Advisory Committee meeting held on September 10, 2003 at DTCC in New York City. Justine Phoenix Director – Operations/...

[16951] January 9, 2004 TO: BROKER/DEALER ADVISORY COMMITTEE No. 1-04 BROKER/DEALER ASSOCIATE MEMBERS No. 2-04 COMPLIANCE ADVISORY COMMITTEE No. 3-04 INTERNAL AUDIT ADVISORY COMMITTEE No. 1-04 MONEY LAUNDERING RULES WORKING GROUP No. 1-04 OPERATIONS MEMBERS No. 2-04 PENSION COMMITTEE...

[16833] December 2, 2003 TO: ACCOUNTING/TREASURERS MEMBERS No. 49-03 BANK AND TRUST ADVISORY COMMITTEE No. 16-03 BROKER/DEALER ADVISORY COMMITTEE No. 36-03 CLOSED-END INVESTMENT COMPANY MEMBERS No. 100-03 OPERATIONS MEMBERS No. 36-03 TAX MEMBERS No. 66-03 TRANSFER AGENT ADVISORY...

[16832] December 1, 2003 TO: OPERATIONS COMMITTEE No. 25-03 TRANSFER AGENT ADVISORY COMMITTEE No. 106-03 BANK AND TRUST ADVISORY COMMITTEE No. 15-03 BROKER/DEALER ADVISORY COMMITTEE No. 35-03 SMALL FUNDS COMMITTEE No. 31-03 RE: STAMP/SEMP/STA AND NYSE RECOMMEND REJECTION OF OLD...

[16826] November 26, 2003 TO: BROKER/DEALER ADVISORY COMMITTEE No. 34-03 RE: BDAC MEETING NOTICE - FEBRUARY 11, 2004 The next meeting of the Broker/Dealer Advisory Committee will take place on Wednesday, February 11, 2004 at the Raymond James Campus located at 880 Carillon Parkway, St...

ACTION REQUESTED [16806] November 21, 2003 TO: BROKER/DEALER ADVISORY COMMITTEE No. 33-03 PRIMARY CONTACTS - MEMBER COMPLEX No. 104-03 SEC RULES MEMBERS No. 163-03 SMALL FUNDS MEMBERS No. 70-03 UNIT INVESTMENT TRUST MEMBERS No. 45-03 RE: ICI RECOMMENDATIONS RELATING TO MEMBER REVIEW...