Broker/Dealer Advisory Content

June 18, 1992 TO: BROKER/DEALER ADVISORY COMMITTEE NO. 20-92 RE: NETWORKING AGREEMENT __________________________________________________________ Enclosed is a copy of the proposed standard NETWORKING Agreement (along with the current Committee membership list which was inadvertently...

June 2, 1992 TO: BROKER/DEALER ADVISORY COMMITTEE NO. 19-92 RE: AGENDA AND MATERIALS FOR JUNE 22-23 MEETING __________________________________________________________ The agenda for June 22-23 meeting is attached. The following materials are enclosed: 1. Minutes of the prior meeting 2...

May 26, 1992 TO: DIRECT MARKETING COMMITTEE NO. 19-92 OPERATIONS COMMITTEE NO. 16-92 SALES FORCE MARKETING COMMITTEE NO. 18-92 SEC RULES COMMITTEE NO. 37-92 BROKER/DEALER ADVISORY COMMITTEE NO. 18-92 SHAREHOLDER COMMUNICATIONS COMMITTEE NO. 17-92 RE: INSTITUTE COMMENT LETTER ON FCC’S...

May 19, 1992 TO: BROKER/DEALER ADVISORY COMMITTEE NO. 17-92 INSURANCE BROKER-DEALER ADVISORY COMMITTEE NO. 7-92 BANK BROKER/DEALER ADVISORY COMMITTEE NO. 3-92 RE: MUTUAL FUNDS STATUS REPORT FOR MONTH ENDING APRIL, 1992 __________________________________________________________...

May 15, 1992 TO: TAX MEMBERS NO. 33-92 STATE LIAISON COMMITTEE NO. 20-92 INVESTMENT ADVISER MEMBERS NO. 21-92 INVESTMENT ADVISER ASSOCIATE MEMBERS NO. 17-92 BROKER/DEALER ADVISORY COMMITTEE NO. 16-92 BROKER/DEALER ASSOCIATE MEMBERS NO. 8-92 RE: TENNESSEE ALLOWS SINGLE FILING AND...

May 8, 1992 TO: BROKER/DEALER ADVISORY COMMITTEE NO. 15-92 DIRECT MARKETING COMMITTEE NO. 14-92 OPERATIONS COMMITTEE NO. 14-92 SALES FORCE MARKETING COMMITTEE NO. 14-92 SEC RULES COMMITTEE NO. 30-92 SHAREHOLDER COMMUNICATIONS COMMITTEE NO. 13-92 RE: FCC SEEKS COMMENTS ON PROPOSED...

May 8, 1992 TO: TAX MEMBERS NO. 31-92 STATE LIAISON COMMITTEE NO. 18-92 BROKER/DEALER ADVISORY COMMITTEE NO. 14-92 INVESTMENT ADVISER MEMBERS NO. 20-92 BROKER/DEALER ASSOCIATE MEMBERS NO. 6-92 INVESTMENT ADVISER ASSOCIATE MEMBERS NO. 15-92 RE: TENNESSEE ENACTS PRIVILEGE TAX ON CERTAIN...

May 5, 1992 TO: INVESTMENT ADVISER MEMBERS NO. 17-92 INVESTMENT ADVISER ASSOCIATE MEMBERS NO. 12-92 PENSION MEMBERS NO. 8-92 BROKER/DEALER ADVISORY COMMITTEE NO. 13-92 RE: DEPARTMENT OF LABOR WITHDRAWS PROPOSED BONDING EXEMPTION ________________________________________________________...

April 20, 1992 TO: BROKER/DEALER ADVISORY COMMITTEE NO. 12-92 INSURANCE BROKER-DEALER ADVISORY COMMITTEE NO. 5-92 BANK BROKER/DEALER ADVISORY COMMITTEE NO. 2-92 RE: MUTUAL FUNDS STATUS REPORT FOR MONTH ENDING MARCH, 1992 __________________________________________________________...

April 13, 1992 TO: BROKER/DEALER ADVISORY COMMITTEE NO. 11-92 FUND/SERV PARTICIPANTS RE: PENDING BROKER REGISTRATION/FUND ACKNOWLEDGEMENT STATUS REPORT __________________________________________________________ Enclosed is a copy of the Registration Status Report as of March 31, 1992...