Broker/Dealer Advisory Content

[16295] July 14, 2003 TO: 529 PLAN ADVISORY COMMITTEE No. 40-03 BROKER/DEALER ADVISORY COMMITTEE No. 22-03 COMPLIANCE ADVISORY COMMITTEE No. 54-03 INTERNAL AUDIT ADVISORY COMMITTEE No. 6-03 INTERNATIONAL COMMITTEE No. 43-03 INTERNATIONAL OPERATIONS ADVISORY COMMITTEE No. 30-03...

[16278] July 9, 2003 TO: BROKER/DEALER ADVISORY COMMITTEE No. 21-03 RE: BDAC MEETING SUMMARY - MAY 21, 2003 Attached is a summary of the Broker/Dealer Advisory Committee meeting held on May 21, 2003 in Washington, DC. Please contact me at 202/326-5850 or justine@ici.org if you have...

[16240] June 26, 2003 TO: 529 PLAN ADVISORY COMMITTEE No. 37-03 BROKER/DEALER ADVISORY COMMITTEE No. 20-03 COMPLIANCE ADVISORY COMMITTEE No. 50-03 INTERNAL AUDIT ADVISORY COMMITTEE No. 5-03 INTERNATIONAL COMMITTEE No. 40-03 INTERNATIONAL OPERATIONS ADVISORY COMMITTEE No. 28-03...

[16236] June 25, 2003 TO: BROKER/DEALER ADVISORY COMMITTEE No. 19-03 COMPLIANCE ADVISORY COMMITTEE No. 49-03 MONEY LAUNDERING RULES WORKING GROUP No. 40-03 SEC RULES COMMITTEE No. 59-03 SMALL FUNDS COMMITTEE No. 22-03 TRANSFER AGENT ADVISORY COMMITTEE No. 62-03 RE: ICI REQUEST FOR...

ACTION REQUESTED [16155] June 4, 2003 TO: BROKER/DEALER ADVISORY COMMITTEE No. 18-03 MONEY LAUNDERING RULES WORKING GROUP No. 36-03 TRANSFER AGENT ADVISORY COMMITTEE No. 56-03 RE: NOTICE OF CONFERENCE CALL -- FRIDAY, JUNE 13, 2003 There will be a conference call on Friday, June 13...

[16025] May 8, 2003 TO: BROKER/DEALER ADVISORY COMMITTEE No. 17-03 TAX MEMBERS No. 29-03 TRANSFER AGENT ADVISORY COMMITTEE No. 48-03 RE: IRS ISSUES FINAL REGULATIONS ON BACKUP WITHHOLDING AFTER MULTIPLE NOTICES OF INCORRECT PAYEE “TIN” The Internal Revenue Service (“IRS”) has issued...

[15995] May 2, 2003 TO: BROKER/DEALER ADVISORY COMMITTEE No. 16-03 COMPLIANCE ADVISORY COMMITTEE No. 32-03 INTERNATIONAL MEMBERS No. 15-03 OPERATIONS MEMBERS No. 14-03 SEC RULES MEMBERS No. 57-03 SMALL FUNDS MEMBERS No. 21-03 RE: SEC AND TREASURY ADOPT FINAL CUSTOMER IDENTIFICATION...

[15914] April 17, 2003 TO: BANK AND TRUST ADVISORY COMMITTEE No. 5-03 BROKER/DEALER ADVISORY COMMITTEE No. 16-03 MONEY LAUNDERING RULES WORKING GROUP No. 26-03 OPERATIONS MEMBERS No. 12-03 SMALL FUNDS COMMITTEE No. 15-03 TRANSFER AGENT ADVISORY COMMITTEE No. 41-03 RE: HOMELAND...

[15883] April 10, 2003 TO: BROKER/DEALER ADVISORY COMMITTEE No. 15-03 SEC RULES MEMBERS No. 45-03 RE: NASD DISCIPLINARY ACTION CONCERNING DISCLOSURE OF SPECIAL CASH COMPENSATION ARRANGEMENTS A mutual fund distributor (“distributor”) and an affiliated broker-dealer firm (“broker-...

[15816] March 27, 2003 TO: BROKER/DEALER ADVISORY COMMITTEE No. 14-03 RE: NASD MUTUAL FUND BREAKPOINT ASSESSMENT As part of its review of broker/dealers regarding discounts on front-end sales charges of mutual funds, the NASD is requiring certain member firms that sold front-end load...