Broker/Dealer Advisory Content

December 11, 1992 TO: BANK BROKER/DEALER ADVISORY COMMITTEE NO. 12-92 BROKER/DEALER ADVISORY COMMITTEE NO. 40-92 INSURANCE BROKER-DEALER ADVISORY COMMITTEE NO. 20-92 OPERATIONS COMMITTEE NO. 37-92 SEC RULES COMMITTEE NO. 92-92 SMALL FUNDS COMMITTEE NO. 19-92 RE: SEC ADOPTION AND...

November 25, 1992 TO: SEC RULES COMMITTEE NO. 89-92 BROKER/DEALER ADVISORY COMMITTEE NO. 39-92 RE: INSTITUTE LETTER ON NASD PROPOSAL TO EXEMPT CERTAIN BULK EXCHANGE OF MONEY MARKET FUNDS FROM NEGATIVE CONSENT RULE __________________________________________________________ The...

November 24, 1992 TO: BROKER/DEALER ADVISORY COMMITTEE NO. 38-92 FUND/SERV PARTICIPANTS RE: PENDING BROKER REGISTRATION/FUND ACKNOWLEDGMENT STATUS REPORT __________________________________________________________ Enclosed is a copy of the Registration Status Report as of October 30...

November 23, 1992 TO: BROKER/DEALER ADVISORY COMMITTEE NO. 37-92 INSURANCE BROKER-DEALER ADVISORY COMMITTEE NO. 18-92 BANK BROKER/DEALER ADVISORY COMMITTEE NO. 10-92 RE: MUTUAL FUNDS STATUS REPORT FOR MONTH ENDING OCTOBER, 1992 _________________________________________________________...

November 6, 1992 TO: SEC RULES COMMITTEE NO. 85-92 BROKER/DEALER ADVISORY COMMITTEE NO. 36-92 RE: SEC SOLICITS COMMENTS ON NASD PROPOSAL RELATING TO THE USE OF NEGATIVE RESPONSE LETTERS IN CERTAIN BULK EXCHANGES OF MONEY MARKET FUNDS ___________________________________________________...

November 4, 1992 TO: BROKER/DEALER ADVISORY COMMITTEE NO. 35-92 INSURANCE BROKER-DEALER ADVISORY COMMITTEE NO. 16-92 BANK BROKER/DEALER ADVISORY COMMITTEE NO. 9-92 RE: MUTUAL FUNDS STATUS REPORT FOR MONTH ENDING SEPTEMBER, 1992 _________________________________________________________...

November 3, 1992 TO: TAX MEMBERS NO. 71-92 ACCOUNTING/TREASURERS MEMBERS NO. 39-92 OPERATIONS MEMBERS NO. 44-92 SEC RULES MEMBERS NO. 57-92 CLOSED-END FUND MEMBERS NO. 42-92 TRANSFER AGENT ADVISORY COMMITTEE NO. 67-92 BROKER/DEALER ADVISORY COMMITTEE NO. 34-92 RE: YEAR-END TAX...

November 2, 1992 TO: BROKER/DEALER ADVISORY COMMITTEE NO. 33-92 RE: 1. AGENDA FOR NOVEMBER 13, 1992 2. MINUTES & ATTACHMENTS OF SEPTEMBER 16 & 17, 1992 MEETING 3. NETWORKING AGREEMENT __________________________________________________________ Attached is the agenda for the meeting of...

October 28, 1992 TO: BROKER/DEALER ADVISORY COMMITTEE NO. 32-92 COMPLIANCE COMMITTEE NO. 21-92 DIRECT MARKETING COMMITTEE NO. 42-92 OPERATIONS MEMBERS NO. 42-92 SEC RULES MEMBERS NO. 54-92 SALES FORCE MARKETING COMMITTEE NO. 43-92 SHAREHOLDER COMMUNICATIONS COMMITTEE NO. 34-92 UNIT...

October 2, 1992 TO: BROKER/DEALER ADVISORY COMMITTEE NO. 31-92 INSURANCE BROKER-DEALER ADVISORY COMMITTEE NO. 15-92 BANK BROKER/DEALER ADVISORY COMMITTEE NO. 8-92 RE: MUTUAL FUNDS STATUS REPORT FOR MONTH ENDING AUGUST, 1992 __________________________________________________________...