Broker/Dealer Advisory Content

[13533] May 21, 2001 TO: BROKER/DEALER ADVISORY COMMITTEE No. 13-01 ELECTRONIC COMMERCE ADVISORY COMMITTEE No. 11-01 OPERATIONS MEMBERS No. 12-01 SEC RULES MEMBERS No. 44-01 SMALL FUNDS MEMBERS No. 15-01 TECHNOLOGY ADVISORY COMMITTEE No. 5-01 TRANSFER AGENT ADVISORY COMMITTEE No. 37...

[13511] May 15, 2001 TO: BROKER/DEALER ADVISORY COMMITTEE No. 12-01 CLOSED-END INVESTMENT COMPANY MEMBERS No. 16-01 COMPLIANCE ADVISORY COMMITTEE No. 21-01 INVESTMENT ADVISER ASSOCIATE MEMBERS No. 6-01 INVESTMENT ADVISER MEMBERS No. 9-01 OPERATIONS COMMITTEE No. 18-01 SEC RULES...

[13459] April 30, 2001 TO: BROKER/DEALER ADVISORY COMMITTEE No. 11-01 RE: MEETING AGENDA - MAY 16, 2001 The next meeting of the Broker/Dealer Advisory Committee will be held on May 16, 2001 at the Washington Hilton Hotel and Towers. The meeting will take place in the Monroe Room on...

[13400] April 10, 2001 TO: BROKER/DEALER ADVISORY COMMITTEE No. 10-01 CLOSED-END INVESTMENT COMPANY MEMBERS No. 11-01 COMPLIANCE ADVISORY COMMITTEE No. 16-01 INVESTMENT ADVISER ASSOCIATE MEMBERS No. 2-01 INVESTMENT ADVISER MEMBERS No. 7-01 OPERATIONS COMMITTEE No. 13-01 PRIVACY...

[13382] April 6, 2001 TO: BROKER/DEALER ADVISORY COMMITTEE No. 9-01 RE: MEETING NOTICE - MAY 16, 2001 The next meeting of the Broker/Dealer Advisory Committee will be held on May 16 at the Washington Hilton Hotel and Towers in Washington, DC in the Monroe Room (Concourse Level). We...

[13323] March 30, 2001 TO: BROKER/DEALER ADVISORY COMMITTEE No. 8-01 RE: SUMMARY OF FEBRUARY 1, 2001 MEETING Attached is a summary of the Broker/Dealer Advisory Committee (BDAC) meeting held on February 1 at the Saint Anthony Hotel in San Antonio, Texas. The next meeting of the BDAC...

[13307] March 27, 2001 TO: ADVERTISING COMPLIANCE ADVISORY COMMITTEE No. 4-01 BROKER/DEALER ADVISORY COMMITTEE No. 7-01 SEC RULES MEMBERS No. 25-01 SMALL FUNDS MEMBERS No. 7-01 RE: NASDR ISSUES POLICY STATEMENT RELATING TO APPLICATION OF THE SUITABILITY RULE TO ONLINE COMMUNICATIONS...

[13301] March 22, 2001 TO: TAX COMMITTEE No. 13-01 BROKER/DEALER ADVISORY COMMITTEE No. 6-01 BDAC YEAR END TAX REPORTING TASK FORCE RE: DRAFT REVISED 2001 YEAR END REPORTING SPREADSHEETS As in prior years, this year the Institute will work with representatives of the Securities...

[13131] February 6, 2001 TO: BROKER/DEALER ADVISORY COMMITTEE No. 4-01 CLOSED-END INVESTMENT COMPANY MEMBERS No. 5-01 OPERATIONS MEMBERS No. 4-01 PENSION MEMBERS No. 8-01 PENSION OPERATIONS ADVISORY COMMITTEE No. 12-01 TAX MEMBERS No. 11-01 TRANSFER AGENT ADVISORY COMMITTEE No. 13-01...

[13102] January 31, 2001 TO: BROKER/DEALER ADVISORY COMMITTEE No. 3-01 COMPLIANCE ADVISORY COMMITTEE No. 8-01 SEC RULES COMMITTEE No. 12-01 TRANSFER AGENT ADVISORY COMMITTEE No. 10-01 PRIVACY COMPLIANCE PAPER WORKING GROUP RE: PRIVACY COMPLIANCE PAPER Enclosed is the final version of...