Broker/Dealer Advisory Content

February 19, 1993 TO: BROKER/DEALER ADVISORY COMMITTEE NO. 8-93 INSURANCE BROKER-DEALER ADVISORY COMMITTEE NO. 2-93 BANK BROKER/DEALER ADVISORY COMMITTEE NO. 4-93 RE: MUTUAL FUNDS STATUS REPORT FOR MONTH ENDING JANUARY, 1993 __________________________________________________________...

February 11, 1993 TO: BROKER/DEALER ADVISORY COMMITTEE NO. 7-93 RE: NOTICE OF TWO-DAY MEETING - APRIL 7-8, 1993 __________________________________________________________ This is to advise you that there will be a two-day meeting of the Broker/Dealer Advisory Committee on April 7 and...

February 8, 1993 TO: SEC RULES COMMITTEE NO. 12-93 UNIT INVESTMENT TRUST COMMITTEE NO. 7-93 BROKER/DEALER ADVISORY COMMITTEE NO. 6-93 RE: SEC SOLICITS COMMENT ON NASD PROPOSAL TO AMEND RULE GOVERNING CASH AND NON-CASH COMPENSATION ______________________________________________________...

February 1, 1993 TO: BROKER/DEALER ADVISORY COMMITTEE NO. 5-93 INSURANCE BROKER-DEALER ADVISORY COMMITTEE NO. 1-93 BANK BROKER/DEALER ADVISORY COMMITTEE NO. 2-93 RE: MUTUAL FUNDS STATUS REPORT FOR MONTH ENDING DECEMBER, 1992 __________________________________________________________...

January 18, 1993 TO: BROKER/DEALER ADVISORY COMMITTEE NO. 4-93 COMPLIANCE COMMITTEE NO. 1-93 DIRECT MARKETING COMMITTEE NO. 3-93 OPERATIONS MEMBERS NO. 7-93 SEC RULES MEMBERS NO. 9-93 SALES FORCE MARKETING COMMITTEE NO. 3-93 SHAREHOLDER COMMUNICATIONS COMMITTEE NO. 2-93 UNIT...

January 15, 1993 TO: BROKER/DEALER ADVISORY COMMITTEE NO. 3-93 OPERATIONS MEMBERS NO. 6-93 SEC RULES MEMBERS NO. 8-93 SMALL FUNDS MEMBERS NO. 1-93 TRANSFER AGENT ADVISORY COMMITTEE NO. 5-93 UNIT INVESTMENT TRUST MEMBERS NO. 5-93 RE: SEC STAFF ISSUES FAVORABLE RESPONSE TO INSTITUTE...

January 13, 1993 TO: BROKER/DEALER ADVISORY COMMITTEE NO. 2-93 FUND/SERV PARTICIPANTS RE: PENDING BROKER REGISTRATION/FUND ACKNOWLEDGMENT STATUS REPORT __________________________________________________________ Enclosed is a copy of the Registration Status Report as of December 31...

January 11, 1993 TO: BROKER/DEALER ADVISORY COMMITTEE NO. 1-93 RE: 1. AGENDA FOR TWO-DAY MEETING - JANUARY 18-19, 1993 2. MINUTES AND ATTACHMENTS FOR LAST MEETING 3. DINNER ARRANGEMENTS - JANUARY 18, 1993 __________________________________________________________

December 21, 1992 TO: BROKER/DEALER ADVISORY COMMITTEE NO. 41-92 INSURANCE BROKER-DEALER ADVISORY COMMITTEE NO. 21-92 BANK BROKER/DEALER ADVISORY COMMITTEE NO. 13-92 RE: MUTUAL FUND STATUS REPORT FOR MONTH ENDING NOVEMBER, 1992 _________________________________________________________...

December 21, 1992 TO: BROKER/DEALER ADVISORY COMMITTEE NO. 42-92 RE: NOTICE OF TWO-DAY MEETING - JANUARY 18-19, 1993 ______________________________________________________________ This is to advise you that there will be a two-day meeting of the Broker/Dealer Advisory Committee on...