Broker/Dealer Advisory Content

[15336] November 7, 2002 TO: OPERATIONS COMMITTEE No. 18-02 TRANSFER AGENT ADVISORY COMMITTEE No. 96-02 BROKER/DEALER ADVISORY COMMITTEE No. 44-02 BANK AND TRUST ADVISORY COMMITTEE No. 12-02 SMALL FUNDS COMMITTEE No. 17-02 RE: STAMP, SEMP & NYSE MEDALLION PROGRAMS -- NOTICE OF...

[15305] TO: BROKER/DEAL COMPLIANCE MONEY LAUN SEC RULES ME SMALL FUNDS TRANSFER AGE RE: TREASURY SUB VERIFICATION On October 22, 2 addressing issues relate foreign nationals who o by Section 326(b) of the In the report, Tr financial institutions’ ab a result, the report state...

[15263] October 15, 2002 TO: BROKER/DEALER ADVISORY COMMITTEE No. 42-02 COMPLIANCE ADVISORY COMMITTEE No. 88-02 MONEY LAUNDERING RULES WORKING GROUP No. 58-02 SEC RULES MEMBERS No. 88-02 SMALL FUNDS MEMBERS No. 42-02 RE: TREASURY DEPARTMENT GUIDANCE ON COMPLIANCE WITH SECTION 326 OF...

[15203] September 26, 2002 TO: BROKER/DEALER ADVISORY COMMITTEE No. 41-02 BROKER/DEALER ASSOCIATE MEMBERS No. 11-02 COMPLIANCE ADVISORY COMMITTEE No. 79-02 INTERNATIONAL MEMBERS No. 26-02 INTERNATIONAL OPERATIONS ADVISORY COMMITTEE No. 42-02 MONEY LAUNDERING RULES WORKING GROUP No. 55...

[15143] September 10, 2002 TO: BROKER/DEALER ADVISORY COMMITTEE No. 40-02 RE: MEETING AGENDA AND ATTENDEES LISTS The next meeting of the Institute’s Broker/Dealer Advisory Committee will be held Thursday, September 19, 2002 in the Majestic/Music Box Room of the Marriott Marquis Hotel...

[15135] September 6, 2002 TO: ACCOUNTING/TREASURERS COMMITTEE No. 43-02 BROKER/DEALER ADVISORY COMMITTEE No. 39-02 PENSION MEMBERS No. 43-02 PENSION OPERATIONS ADVISORY COMMITTEE No. 61-02 TAX MEMBERS No. 40-02 TRANSFER AGENT ADVISORY COMMITTEE No. 82-02 RE: IRS TO ISSUE FINAL...

URGENT/ACTION REQUESTED [15112] September 6, 2002 TO: BROKER/DEALER ADVISORY COMMITTEE No. 37-02 COMPLIANCE ADVISORY COMMITTEE No. 73-02 INTERNATIONAL COMMITTEE No. 65-02 INTERNATIONAL OPERATIONS ADVISORY COMMITTEE No. 39-02 MONEY LAUNDERING RULES WORKING GROUP No. 52-02 PRIMARY...

[15134] September 6, 2002 TO: BROKER/DEALER ADVISORY COMMITTEE No. 38-02 COMPLIANCE ADVISORY COMMITTEE No. 74-02 INTERNATIONAL COMMITTEE No. 66-02 INTERNATIONAL OPERATIONS ADVISORY COMMITTEE No. 40-02 MONEY LAUNDERING RULES WORKING GROUP No. 53-02 OPERATIONS COMMITTEE No. 15-02 SEC...

URGENT/ACTION REQUESTED [15091] September 3, 2002 TO: BROKER/DEALER ADVISORY COMMITTEE No. 35-02 COMPLIANCE ADVISORY COMMITTEE No. 69-02 INTERNATIONAL COMMITTEE No. 63-02 INTERNATIONAL OPERATIONS ADVISORY COMMITTEE No. 38-02 MONEY LAUNDERING RULES WORKING GROUP No. 51-02 PRIMARY...

[15094] September 3, 2002 TO: ACCOUNTING/TREASURERS MEMBERS No. 34-02 CLOSED-END INVESTMENT COMPANY MEMBERS No. 42-02 COMPLIANCE ADVISORY COMMITTEE No. 71-02 EQUITY MARKETS ADVISORY COMMITTEE No. 20-02 INVESTMENT ADVISER MEMBERS No. 36-02 OPERATIONS MEMBERS No. 27-02 PRIMARY CONTACTS...