Broker/Dealer Advisory Content

January 5, 1994 TO: BROKER/DEALER ADVISORY COMMITTEE NO. 2-94 RE: MEETING MARCH 2ND AND 3RD IN JACKSONVILLE __________________________________________________________ Regarding March 2nd & 3rd, it seems that we've chosen to schedule our next meeting at the beginning of the TPC...

January 5, 1994 TO: BANK BROKER/DEALER ADVISORY COMMITTEE NO. 2-94 BROKER/DEALER ADVISORY COMMITTEE NO. 3-94 INSURANCE BROKER-DEALER ADVISORY COMMITTEE NO. 2-94 RE: MUTUAL FUNDS STATUS REPORT FOR MONTH ENDING NOVEMBER, 1993 __________________________________________________________...

December 20, 1993 TO: BROKER/DEALER ADVISORY COMMITTEE NO. 36-93 SEC RULES COMMITTEE NO. 112-93 STATE LIAISON COMMITTEE NO. 56-93 UNIT INVESTMENT TRUST COMMITTEE NO. 60-93 RE: NASAA COMMITTEE CONSIDERING PROPOSAL TO REQUIRE DISCLOSURE OF SALES LOAD ON CONFIRMATION ____________________...

December 14, 1993 TO: BANK BROKER/DEALER ADVISORY COMMITTEE NO. 26-93 BROKER/DEALER ADVISORY COMMITTEE NO. 35-93 INSURANCE BROKER-DEALER ADVISORY COMMITTEE NO. 23-93 MEMBERS - ONE PER COMPLEX NO. 82-93 OPERATIONS MEMBERS NO. 38-93 SMALL FUNDS MEMBERS NO. 18-93 TAX MEMBERS NO. 45-93...

November 26, 1993 TO: BROKER/DEALER ADVISORY COMMITTEE NO. 34-93 RE: MINUTES FROM BDAC MEETING 10/25/93 NOTICE OF TWO-DAY MEETING - MARCH 2-3, 1994 __________________________________________________________ You will find attached to this memo a copy of the minutes of the Broker Dealer...

November 8, 1993 TO: BROKER/DEALER ADVISORY COMMITTEE NO. 33-93 RE: STEPPED UP COMMISSIONS _______________________________________________________________ During the Broker Dealer Advisory Committee meeting of October 25th 1993, the Committee began discussion of the processing of...

November 2, 1993 TO: BANK BROKER/DEALER ADVISORY COMMITTEE NO. 24-93 BROKER/DEALER ADVISORY COMMITTEE NO. 32-93 INSURANCE BROKER-DEALER ADVISORY COMMITTEE NO. 21-93 RE: MUTUAL FUNDS STATUS REPORT FOR MONTH ENDING SEPTEMBER, 1993 ________________________________________________________...

October 13, 1993 TO: ACCOUNTING/TREASURERS COMMITTEE NO. 33-93 BANK BROKER/DEALER ADVISORY COMMITTEE NO. 23-93 BOARD OF GOVERNORS NO. 92-93 BROKER/DEALER ADVISORY COMMITTEE NO. 31-93 CLOSED-END FUND COMMITTEE NO. 23-93 INSURANCE BROKER-DEALER ADVISORY COMMITTEE NO. 20-93 OPERATIONS...

October 5, 1993 TO: ACCOUNTING/TREASURERS COMMITTEE NO. 31-93 ACCOUNTING/TREASURERS MEMBERS NO. 29-93 BROKER/DEALER ADVISORY COMMITTEE NO. 29-93 BROKER/DEALER ASSOCIATE MEMBERS NO. 25-93 COMPLIANCE COMMITTEE NO. 24-93 CUSTODIAN ADVISORY COMMITTEE NO. 2-93 DIRECT MARKETING COMMITTEE NO...

October 5, 1993 TO: BROKER/DEALER ADVISORY COMMITTEE NO. 30-93 RE: OCTOBER 25, 1993 MEETING AGENDA __________________________________________________________ Enclosed please find the minutes from the last Committee meeting which were inadvertently omitted from the September 29 mailing...