Broker/Dealer Advisory Content

[14764] May 29, 2002 TO: BROKER/DEALER ADVISORY COMMITTEE No. 13-02 COMPLIANCE ADVISORY COMMITTEE No. 41-02 INTERNATIONAL MEMBERS No. 12-02 SEC RULES MEMBERS No. 41-02 SMALL FUNDS MEMBERS No. 16-02 TRANSFER AGENT ADVISORY COMMITTEE No. 42-02 RE: TREASURY PROPOSAL CONCERNING DUE...

URGENT [14689] May 3, 2002 TO: BROKER/DEALER ADVISORY COMMITTEE No. 12-02 COMPLIANCE ADVISORY COMMITTEE No. 39-02 INTERNATIONAL COMMITTEE No. 34-02 INTERNATIONAL OPERATIONS ADVISORY COMMITTEE No. 18-02 MONEY LAUNDERING RULES WORKING GROUP No. 23-02 PRIMARY CONTACTS - MEMBER COMPLEX No...

[14667] April 24, 2002 TO: BROKER/DEALER ADVISORY COMMITTEE No. 11-02 RE: NASD PROPOSED RULE ON BUSINESS CONTINUITY PLANS AND EMERGENCY CONTACT INFORMATION The National Association of Securities Dealers (NASD) has published for comment a proposed rule (a copy of which is attached)...

[14653] April 19, 2002 TO: BROKER/DEALER ADVISORY COMMITTEE No. 10-02 COMPLIANCE ADVISORY COMMITTEE No. 36-02 INTERNATIONAL COMMITTEE No. 31-02 INTERNATIONAL OPERATIONS ADVISORY COMMITTEE No. 16-02 MONEY LAUNDERING RULES WORKING GROUP No. 21-02 PRIMARY CONTACTS - MEMBER COMPLEX No. 34...

[14635] April 12, 2002 TO: BROKER/DEALER ADVISORY COMMITTEE No. 9-02 CLOSED-END INVESTMENT COMPANY MEMBERS No. 14-02 COMPLIANCE ADVISORY COMMITTEE No. 33-02 MONEY LAUNDERING RULES WORKING GROUP No. 20-02 SEC RULES MEMBERS No. 25-02 SMALL FUNDS MEMBERS No. 10-02 TRANSFER AGENT ADVISORY...

[14601] April 3, 2002 TO: BROKER/DEALER ADVISORY COMMITTEE No. 8-02 COMPLIANCE ADVISORY COMMITTEE No. 30-02 INTERNATIONAL COMMITTEE No. 25-02 MONEY LAUNDERING RULES WORKING GROUP No. 18-02 SEC RULES COMMITTEE No. 27-02 TRANSFER AGENT ADVISORY COMMITTEE No. 28-02 RE: ICI COMMENT LETTER...

[14583] March 27, 2002 TO: BROKER/DEALER ADVISORY COMMITTEE No. 7-02 RE: NOTICE OF MEETING -- MAY 22, 2002 The next meeting of the Broker/Dealer Advisory Committee will be held on May 22 at the Washington Hilton Hotel and Towers in Washington, DC. We will begin at 9:00 am and conclude...

[14547] March 18, 2002 TO: BROKER/DEALER ADVISORY COMMITTEE No. 6-02 CLOSED-END INVESTMENT COMPANY COMMITTEE No. 11-02 COMPLIANCE ADVISORY COMMITTEE No. 23-02 MONEY LAUNDERING RULES WORKING GROUP No. 14-02 SEC RULES COMMITTEE No. 22-02 SMALL FUNDS COMMITTEE No. 2-02 TRANSFER AGENT...

BY EMAIL [14533] March 13, 2002 TO: BROKER/DEALER ADVISORY COMMITTEE No. 5-02 INTERNATIONAL COMMITTEE No. 20-02 TAX MEMBERS No. 11-02 TRANSFER AGENT ADVISORY COMMITTEE No. 20-02 RE: IRS GRANTS FILING EXTENSION FOR 2001 FORM 1042-S The Internal Revenue Service today extended the filing...

[14492] March 4, 2002 TO: BROKER/DEALER ADVISORY COMMITTEE No. 4-02 COMPLIANCE ADVISORY COMMITTEE No. 18-02 INTERNATIONAL COMMITTEE No. 16-02 MONEY LAUNDERING RULES WORKING GROUP No. 10-02 SEC RULES COMMITTEE No. 20-02 TRANSFER AGENT ADVISORY COMMITTEE No. 16-02 RE: ICI COMMENT LETTER...