Broker/Dealer Advisory Content

[16776] November 18, 2003 TO: BOARD OF GOVERNORS No. 62-03 CEOS ACCOUNTING/TREASURERS COMMITTEE No. 36-03 BROKER/DEALER ADVISORY COMMITTEE No. 32-03 COMPLIANCE ADVISORY COMMITTEE No. 100-03 FEDERAL LEGISLATION MEMBERS No. 23-03 INVESTMENT COMPANY DIRECTORS No. 18-03 OPERATIONS...

[16729] November 4, 2003 TO: BROKER/DEALER ADVISORY COMMITTEE No. 31-03 BANK AND TRUST ADVISORY COMMITTEE No. 13-03 TRANSFER AGENT ADVISORY COMMITTEE No. 99-03 INTERNATIONAL OPERATIONS ADVISORY COMMITTEE No. 46-03 SMALL FUNDS COMMITTEE No. 28-03 RE: INSTITUTE RECOMMENDATIONS REGARDING...

[16695] October 24, 2003 TO: ACCOUNTING/TREASURERS MEMBERS No. 43-03 BANK AND TRUST ADVISORY COMMITTEE No. 12-03 BROKER/DEALER ADVISORY COMMITTEE No. 30-03 CLOSED-END INVESTMENT COMPANY MEMBERS No. 84-03 OPERATIONS MEMBERS No. 32-03 TAX MEMBERS No. 57-03 TRANSFER AGENT ADVISORY...

[16517] September 10, 2003 TO: OPERATIONS COMMITTEE No. 18-03 TRANSFER AGENT ADVISORY COMMITTEE No. 85-03 BROKER/DEALER ADVISORY COMMITTEE No. 29-03 BANK AND TRUST ADVISORY COMMITTEE No. 11-03 RE: MEMBER REVIEW OF HANDLING OF MUTUAL FUND ORDERS AND MARKET TIMING POLICIES In view of...

[16475] August 27, 2003 TO: BROKER/DEALER ADVISORY COMMITTEE No. 28-03 COMPLIANCE ADVISORY COMMITTEE No. 66-03 SEC RULES MEMBERS No. 112-03 TRANSFER AGENT ADVISORY COMMITTEE No. 81-03 RE: NASD DIRECTS MEMBERS TO MAKE APPROPRIATE REFUNDS TO CUSTOMERS WHO DID NOT RECEIVE BREAKPOINTS FOR...

ACTION REQUESTED [16437] August 15, 2003 TO: BANK AND TRUST ADVISORY COMMITTEE No. 10-03 BROKER/DEALER ADVISORY COMMITTEE No. 27-03 MONEY LAUNDERING RULES WORKING GROUP No. 50-03 PENSION COMMITTEE No. 26-03 PENSION OPERATIONS ADVISORY COMMITTEE No. 49-03 TRANSFER AGENT ADVISORY...

[16438] August 13, 2003 TO: BROKER/DEALER ADVISORY COMMITTEE No. 26-03 RE: BDAC MEETING NOTICE - SEPTEMBER 10, 2003 The next meeting of the Broker/Dealer Advisory Committee will be held on Wednesday, September 10, 2003, at the offices of the Depository Trust & Clearing Corporation...

[16428] August 12, 2003 TO: 529 PLAN ADVISORY COMMITTEE No. 44-03 BROKER/DEALER ADVISORY COMMITTEE No. 25-03 BROKER/DEALER ASSOCIATE MEMBERS No. 4-03 COMPLIANCE ADVISORY COMMITTEE No. 60-03 INTERNAL AUDIT ADVISORY COMMITTEE No. 7-03 MONEY LAUNDERING RULES WORKING GROUP No. 49-03...

[16369] July 30, 2003 TO: ACCOUNTING/TREASURERS COMMITTEE No. 29-03 BANK AND TRUST ADVISORY COMMITTEE No. 9-03 BROKER/DEALER ADVISORY COMMITTEE No. 24-03 CLOSED-END INVESTMENT COMPANY COMMITTEE No. 45-03 OPERATIONS COMMITTEE No. 13-03 TAX COMMITTEE No. 46-03 TRANSFER AGENT ADVISORY...

[16346] July 25, 2003 TO: BOARD OF GOVERNORS No. 38-03 CLOSED-END INVESTMENT COMPANY MEMBERS No. 62-03 DIRECTOR SERVICES COMMITTEE No. 15-03 FEDERAL LEGISLATION MEMBERS No. 14-03 PRIMARY CONTACTS - MEMBER COMPLEX No. 58-03 PUBLIC INFORMATION COMMITTEE No. 25-03 SEC RULES MEMBERS No...