Broker/Dealer Advisory Content

December 23, 1991 TO: BROKER/DEALER ADVISORY COMMITTEE NO. 48-91 RE: NEW FUND/SERV FILE FORMATS __________________________________________________________ Attached are the new Fund/SERV File Formats which were sent to us by the National Securities Clearing corporation for distribution...

December 20, 1991 TO: SEC RULES COMMITTEE NO. 74-91 BROKER/DEALER ADVISORY COMMITTEE NO. 47-91 RE: NASD PROPOSAL TO EXEMPT CERTAIN BULK EXCHANGES OF MONEY MARKET FUNDS FROM NEGATIVE RESPONSE LETTER RULE __________________________________________________________ As we previously...

December 17, 1991 TO: BROKER/DEALER ADVISORY COMMITTEE NO. 45-91 TRANSFER AGENT ADVISORY COMMITTEE NO. 61-91 RE: CHECK AGING STUDY - MARCH, 1991 __________________________________________________________ Enclosed, for your review, is a copy of the Check Aging Study which which was...

December 17, 1991 TO: STATE LIAISON COMMITTEE NO. 24-91 BROKER/DEALER ADVISORY COMMITTEE NO. 46-91 RE: INSTITUTE COMMENTS ON WISCONSIN PROPOSAL TO REQUIRE PROSPECTUS DISCLOSURE OF SALES INCENTIVES __________________________________________________________ Wisconsin state senator Russ...

December 16, 1991 TO: BROKER/DEALER ADVISORY COMMITTEE NO. 44-91 RE: MUTUAL FUND STATUS REPORT FOR MONTH ENDING NOVEMBER, 1991 __________________________________________________________ Attached is a copy of the Mutual Funds Status Report for the month ending November, 1991. We will...

December 6, 1991 TO: BOARD OF GOVERNORS NO. 86-91 BROKER/DEALER ADVISORY COMMITTEE NO. 43-91 DIRECT MARKETING COMMITTEE NO. 40-91 MARKETING COMMITTEE NO. 44-91 OPERATIONS COMMITTEE NO. 38-91 SALES FORCE MARKETING COMMITTEE NO. 38-91 SEC RULES MEMBERS NO. 58-91 SHAREHOLDER...

- 1 - December 3, 1991 TO: BROKER/DEALER ADVISORY COMMITTEE NO. 42-91 INSURANCE BROKER-DEALER ADVISORY COMMITTEE NO. 12-91 OPERATIONS MEMBERS NO. 33-91 TAX MEMBERS NO. 58-91 TRANSFER AGENT ADVISORY COMMITTEE NO. 59-91 RE: FINAL REGULATIONS ON REPORTING OF TRANSACTIONS INVOLVING...

November 26, 1991 TO: BROKER/DEALER ADVISORY COMMITTEE NO. 40-91 RE: MUTUAL FUND STATUS REPORT FOR MONTH ENDING OCTOBER, 1991 __________________________________________________________ Attached is a copy of the Mutual Funds Status Report for the month ending October, 1991. We will...

November 26, 1991 TO: BROKER/DEALER ADVISORY COMMITTEE NO. 41-91 FUND/SERV PARTICIPANTS RE: PENDING BROKER REGISTRATION/FUND ACKNOWLEDGEMENT STATUS REPORT __________________________________________________________ Enclosed is a copy of the Registration Status Report as of October 31...

November 20, 1991 T O: SEC RULES COMMITTEE NO. 66-91 UNIT INVESTMENT TRUST COMMITTEE NO. 39-91 BROKER/DEALER ADVISORY COMMITTEE NO. 38-91 R E: NASD SOLICITS VOTE ON PROPOSED AMENDMENTS TO RULE GOVERNING CASH AND NON-CASH COMPENSATION ___________________________________________________...