Broker/Dealer Advisory Content

[15796] March 24, 2003 TO: BROKER/DEALER ADVISORY COMMITTEE No. 13-03 MONEY LAUNDERING RULES WORKING GROUP No. 23-03 SEC RULES MEMBERS No. 36-03 TAX COMMITTEE No. 17-03 TRANSFER AGENT ADVISORY COMMITTEE No. 35-03 RE: ICI COMMENT LETTER ON PROPOSED MUTUAL FUND SAR RULE On Friday, the...

[15763] March 18, 2003 TO: BROKER/DEALER ADVISORY COMMITTEE No. 12-03 RE: MEETING NOTICE-MAY 21, 2003 The next meeting of the Broker/Dealer Advisory Committee will be held on May 21 at the Washington Hilton Hotel and Towers in Washington, DC. The meeting will begin at 9:00 am and...

[15751] March 13, 2003 TO: BOARD OF GOVERNORS No. 12-03 BROKER/DEALER ADVISORY COMMITTEE No. 11-03 COMPLIANCE ADVISORY COMMITTEE No. 21-03 SEC RULES MEMBERS No. 31-03 TRANSFER AGENT ADVISORY COMMITTEE No. 29-03 RE: JOINT SEC, NASD AND NYSE REPORT ON EXAMINATIONS OF BROKER-DEALERS...

ACTION REQUESTED [15721] March 4, 2003 TO: BROKER/DEALER ADVISORY COMMITTEE No. 10-03 MONEY LAUNDERING RULES WORKING GROUP No. 17-03 TAX COMMITTEE No. 12-03 TRANSFER AGENT ADVISORY COMMITTEE No. 25-03 RE: NOTICE OF CONFERENCE CALL -- TUESDAY, MARCH 18, 2003 There will be a conference...

ACTION REQUESTED [15705] February 28, 2003 TO: BROKER/DEALER ADVISORY COMMITTEE No. 9-03 MONEY LAUNDERING RULES WORKING GROUP No. 16-03 TAX COMMITTEE No. 10-03 TRANSFER AGENT ADVISORY COMMITTEE No. 24-03 RE: DRAFT INSTITUTE LETTER ON MUTUAL FUND SUSPICIOUS ACTIVITY REPORTING RULE The...

[15677] February 20, 2003 TO: OPERATIONS COMMITTEE No. 2-03 TRANSFER AGENT ADVISORY COMMITTEE No. 21-03 BROKER/DEALER ADVISORY COMMITTEE No. 8-03 BANK AND TRUST ADVISORY COMMITTEE No. 3-03 SMALL FUNDS COMMITTEE No. 7-03 RE: STAMP, SEMP & NYSE MEDALLION PROGRAMS - RECENT NOTICES ON...

[15666] February 19, 2003 TO: BOARD OF GOVERNORS No. 8-03 BROKER/DEALER ADVISORY COMMITTEE No. 7-03 PRIMARY CONTACTS - MEMBER COMPLEX No. 15-03 SEC RULES MEMBERS No. 22-03 RE: JOINT NASD/INDUSTRY BREAKPOINT TASK FORCE NASD has announced the formation of a task force to recommend ways...

[15630] February 7, 2003 TO: BROKER/DEALER ADVISORY COMMITTEE No. 6-03 COMPLIANCE ADVISORY COMMITTEE No. 13-03 MONEY LAUNDERING RULES WORKING GROUP No. 12-03 TRANSFER AGENT ADVISORY COMMITTEE No. 17-03 RE: FINCEN ANNOUNCES NEW 314(A) INFORMATION REQUEST PROCEDURES; WILL BEGIN MAKING...

[15627] February 6, 2003 TO: BROKER/DEALER ADVISORY COMMITTEE No. 5-03 MONEY LAUNDERING RULES WORKING GROUP No. 11-03 SEC RULES COMMITTEE No. 14-03 TRANSFER AGENT ADVISORY COMMITTEE No. 16-03 RE: INSTITUTE MAKES RECOMMENDATIONS TO TREASURY AML TASK FORCE As some of you may know, the...

[15551] January 15, 2003 TO: BROKER/DEALER ADVISORY COMMITTEE No. 4-03 MONEY LAUNDERING RULES WORKING GROUP No. 3-03 SEC RULES COMMITTEE No. 7-03 TRANSFER AGENT ADVISORY COMMITTEE No. 4-03 RE: TREASURY PROPOSES MUTUAL FUND SUSPICIOUS ACTIVITY REPORTING RULE The Department of the...