Broker/Dealer Advisory Content

[15539] January 14, 2003 TO: OPERATIONS COMMITTEE No. 1-03 BROKER/DEALER ADVISORY COMMITTEE No. 3-03 BANK AND TRUST ADVISORY COMMITTEE No. 1-03 RE: BUSINESS CONTINUITY PLAN FOR FUND/SERV Last year, the ICI Broker/Dealer Advisory Committee’s Disaster Recovery task force developed...

[15538] January 14, 2003 TO: BROKER/DEALER ADVISORY COMMITTEE No. 2-03 RE: DISASTER RECOVERY CONTACT LIST Last year, the ICI Broker/Dealer Advisory Committee’s Disaster Recovery task force proposed that the committee maintain a Disaster Recovery Contact list. Attached is the final...

[15521] January 8, 2003 TO: BROKER/DEALER ADVISORY COMMITTEE No. 1-03 RE: MEETING NOTICE -- FEBRUARY 12, 2003 The next meeting of the Broker/Dealer Advisory Committee will be held on Wednesday, February 12 at the Millennium Broadway hotel located at 145 West 44th Street in New York...

[15492] December 24, 2002 TO: BROKER/DEALER ADVISORY COMMITTEE No. 51-02 COMPLIANCE ADVISORY COMMITTEE No. 115-02 SEC RULES MEMBERS No. 117-02 RE: NASD REQUIRES IMMEDIATE ACTION REGARDING COMPLIANCE WITH BREAKPOINT SCHEDULES; SEC LETTER STRESSES IMPORTANCE OF ISSUE The National...

URGENT [15469] December 19, 2002 TO: BROKER/DEALER ADVISORY COMMITTEE No. 50-02 BROKER/DEALER ASSOCIATE MEMBERS No. 15-02 COMPLIANCE ADVISORY COMMITTEE No. 114-02 INTERNATIONAL MEMBERS No. 32-02 INTERNATIONAL OPERATIONS ADVISORY COMMITTEE No. 61-02 MONEY LAUNDERING RULES WORKING GROUP...

[15426] December 6, 2002 TO: BROKER/DEALER ADVISORY COMMITTEE No. 49-02 COMPLIANCE ADVISORY COMMITTEE No. 110-02 MONEY LAUNDERING RULES WORKING GROUP No. 72-02 SEC RULES MEMBERS No. 108-02 SMALL FUNDS MEMBERS No. 53-02 TRANSFER AGENT ADVISORY COMMITTEE No. 106-02 RE: DEVELOPMENTS...

[15366] November 22, 2002 TO: ACCOUNTING/TREASURERS MEMBERS No. 47-02 BANK AND TRUST ADVISORY COMMITTEE No. 14-02 BROKER/DEALER ADVISORY COMMITTEE No. 47-02 CLOSED-END INVESTMENT COMPANY MEMBERS No. 60-02 OPERATIONS MEMBERS No. 34-02 TAX MEMBERS No. 48-02 TRANSFER AGENT ADVISORY...

[15377] November 22, 2002 TO: BROKER/DEALER ADVISORY COMMITTEE No. 48-02 COMPLIANCE ADVISORY COMMITTEE No. 105-02 MONEY LAUNDERING RULES WORKING GROUP No. 69-02 SEC RULES MEMBERS No. 103-02 SMALL FUNDS MEMBERS No. 51-02 TRANSFER AGENT ADVISORY COMMITTEE No. 104-02 RE: PROPOSED NASD...

[15365] November 19, 2002 TO: BROKER/DEALER ADVISORY COMMITTEE No. 46-02 BROKER/DEALER ASSOCIATE MEMBERS No. 13-02 COMPLIANCE ADVISORY COMMITTEE No. 102-02 CONTINUING EDUCATION AND TRAINING MEMBERS No. 13-02 HUMAN RESOURCES MEMBERS No. 12-02 INTERNAL AUDIT ADVISORY COMMITTEE No. 11-02...

[15357] November 15, 2002 TO: ACCOUNTING/TREASURERS MEMBERS No. 46-02 BANK AND TRUST ADVISORY COMMITTEE No. 13-02 BROKER/DEALER ADVISORY COMMITTEE No. 45-02 CLOSED-END INVESTMENT COMPANY MEMBERS No. 59-02 OPERATIONS MEMBERS No. 32-02 TAX MEMBERS No. 47-02 TRANSFER AGENT ADVISORY...