Broker/Dealer Advisory Content

March 20, 1992 TO: BROKER/DEALER ADVISORY COMMITTEE NO. 10-92 INSURANCE BROKER-DEALER ADVISORY COMMITTEE NO. 4-92 BANK BROKER/DEALER ADVISORY COMMITTEE NO. 1-92 RE: MUTUAL FUNDS STATUS REPORT FOR MONTH ENDING FEBRUARY, 1992 __________________________________________________________...

March 20, 1992 TO: BROKER/DEALER ADVISORY COMMITTEE NO. 9-92 RE: COMMISSION SETTLEMENT - GLOBAL BRANCH AND ACCOUNT REPRESENTATIVE UPDATES __________________________________________________________ For your information, attached are the latest documents concerning the proposed...

March 12, 1992 TO: BROKER/DEALER ADVISORY COMMITTEE NO. 8-92 RE: NOTICE OF TWO-DAY MEETING - JUNE 22-23, 1992 __________________________________________________________ This is to advise you that there will be a two-day meeting of the Broker/Dealer Advisory Committee on June 22 and 23...

February 21, 1992 TO: OPERATIONS COMMITTEE NO. 6-92 BROKER/DEALER ADVISORY COMMITTEE NO. 7-92 TRANSFER AGENT ADVISORY COMMITTEE NO. 9-92 RE: FINAL REPORT - SURVEY OF BOOK VERSUS PHYSICAL SHARES __________________________________________________________ Enclosed is a copy of the final...

February 18, 1992 TO: BROKER/DEALER ADVISORY COMMITTEE NO. 6-92 RE: PROPOSED STANDARD NETWORKING AGREEMENT __________________________________________________________ Attached for your review is the proposed Standard Networking Agreement which will be discussed at the Committee's...

February 12, 1992 TO: BROKER/DEALER ADVISORY COMMITTEE NO. 5-92 FUND/SERVE PARTICIPANTS RE: PENDING BROKER REGISTRATION/FUND ACKNOWLEDGMENT STATUS REPORT __________________________________________________________ Enclosed is a copy of the Registration Status Report as of January 31...

February 12, 1992 TO: BROKER/DEALER ADVISORY COMMITTEE NO. 4-92 RE: MUTUAL FUNDS STATUS REPORT FOR MONTH ENDING JANUARY, 1992 __________________________________________________________ Attached is a copy of the Mutual Funds Status Report for the month ending January, 1992. We will...

January 21, 1992 TO: BROKER/DEALER ADVISORY COMMITTEE NO. 3-92 RE: NOTICE OF MEETING - FEBRUARY 27, 1992 __________________________________________________________ This is to advise you that there will be a meeting of the Broker/Dealer Advisory Committee starting at 9:30 a.m. on...

January 17, 1992 TO: BROKER/DEALER ADVISORY COMMITTEE NO. 2-92 RE: MUTUAL FUNDS STATUS REPORT FOR MONTH ENDING DECEMBER, 1991 __________________________________________________________ Attached is a copy of the Mutual Funds Status Report for the month ending December, 1991. We will...

January 15, 1992 TO: SEC RULES COMMITTEE NO. 2-92 BROKER/DEALER ADVISORY COMMITTEE NO. 1-92 RE: INSTITUTE LETTER ON NASD PROPOSAL TO EXEMPT BULK EXCHANGES OF MONEY MARKET FUNDS FROM NEGATIVE RESPONSE LETTER RULE __________________________________________________________ As we...