Broker/Dealer Advisory Content

[14487] February 28, 2002 TO: BROKER/DEALER ADVISORY COMMITTEE No. 3-02 CLOSED-END INVESTMENT COMPANY MEMBERS No. 7-02 COMPLIANCE ADVISORY COMMITTEE No. 17-02 SEC RULES MEMBERS No. 12-02 SMALL FUNDS MEMBERS No. 5-02 TRANSFER AGENT ADVISORY COMMITTEE No. 15-02 UNIT INVESTMENT TRUST...

[14287] January 8, 2002 TO: ACCOUNTING/TREASURERS MEMBERS No. 1-02 BROKER/DEALER ADVISORY COMMITTEE No. 1-02 CLOSED-END INVESTMENT COMPANY MEMBERS No. 3-02 COMPLIANCE ADVISORY COMMITTEE No. 2-02 INTERNATIONAL MEMBERS No. 2-02 SEC RULES MEMBERS No. 4-02 SMALL FUNDS MEMBERS No. 1-02...

[14219] December 13, 2001 TO: BOARD OF GOVERNORS No. 62-01 BROKER/DEALER ADVISORY COMMITTEE No. 31-01 BROKER/DEALER ASSOCIATE MEMBERS No. 10-01 COMPLIANCE ADVISORY COMMITTEE No. 64-01 INTERNAL AUDIT ADVISORY COMMITTEE No. 10-01 INTERNATIONAL MEMBERS No. 23-01 INTERNATIONAL OPERATIONS...

[14196] November 30, 2001 TO: ACCOUNTING/TREASURERS MEMBERS No. 38-01 BANK AND TRUST ADVISORY COMMITTEE No. 24-01 BROKER/DEALER ADVISORY COMMITTEE No. 30-01 OPERATIONS MEMBERS No. 29-01 TAX MEMBERS No. 31-01 TRANSFER AGENT ADVISORY COMMITTEE No. 99-01 RE: REVISED ABA CONTACTS LIST FOR...

[14183] November 27, 2001 TO: ACCOUNTING/TREASURERS MEMBERS No. 37-01 BANK AND TRUST ADVISORY COMMITTEE No. 23-01 BROKER/DEALER ADVISORY COMMITTEE No. 29-01 OPERATIONS MEMBERS No. 28-01 TAX MEMBERS No. 30-01 TRANSFER AGENT ADVISORY COMMITTEE No. 96-01 RE: UPDATED SIA CONTACTS LIST FOR...

[14172] November 21, 2001 TO: BOARD OF GOVERNORS No. 59-01 BROKER/DEALER ADVISORY COMMITTEE No. 28-01 COMPLIANCE ADVISORY COMMITTEE No. 59-01 INTERNAL AUDIT ADVISORY COMMITTEE No. 9-01 INTERNATIONAL MEMBERS No. 22-01 INTERNATIONAL OPERATIONS ADVISORY COMMITTEE No. 16-01 PRIMARY...

[14169] November 20, 2001 TO: BROKER/DEALER ADVISORY COMMITTEE No. 27-01 RE: SEC ADOPTS REVISIONS TO BROKER-DEALER RECORDKEEPING REQUIREMENTS The Securities and Exchange Commission recently adopted revisions to Rules 17a-3 and 17a-4 under the Securities Exchange Act of 1934, which...

[14131] November 12, 2001 TO: ACCOUNTING/TREASURERS MEMBERS No. 35-01 BANK AND TRUST ADVISORY COMMITTEE No. 22-01 BROKER/DEALER ADVISORY COMMITTEE No. 26-01 OPERATIONS MEMBERS No. 25-01 TAX MEMBERS No. 28-01 TRANSFER AGENT ADVISORY COMMITTEE No. 92-01 RE: 2001 YEAR-END TAX REPORTING -...

[14034] October 10, 2001 TO: ACCOUNTING/TREASURERS COMMITTEE No. 29-01 BANK AND TRUST ADVISORY COMMITTEE No. 21-01 BROKER/DEALER ADVISORY COMMITTEE No. 25-01 OPERATIONS COMMITTEE No. 29-01 TAX COMMITTEE No. 26-01 TRANSFER AGENT ADVISORY COMMITTEE No. 77-01 RE: 2001 YEAR-END TAX...

[13975] September 25, 2001 TO: ACCOUNTING/TREASURERS MEMBERS No. 26-01 CLOSED-END INVESTMENT COMPANY MEMBERS No. 29-01 COMPLIANCE ADVISORY COMMITTEE No. 41-01 EQUITY MARKETS ADVISORY COMMITTEE No. 32-01 INTERNATIONAL MEMBERS No. 16-01 INVESTMENT ADVISER MEMBERS No. 21-01 OPERATIONS...