Broker/Dealer Advisory Content

November 20, 1991 TO: OPERATIONS COMMITTEE NO. 35-91 TRANSFER AGENT ADVISORY COMMITTEE NO. 53-91 BROKER/DEALER ADVISORY COMMITTEE NO. 39-91 RE: SECURITIES TRANSFER ASSOCIATION TRANSFER ON DEATH (TOD) FORM __________________________________________________________ The Securities...

November 5, 1991 TO: BROKER/DEALER ADVISORY COMMITTEE NO. 37-91 RE: PROPOSED NETWORKING INDEMNIFICATION AGREEMENT __________________________________________________________ The draft memorandum seeking NASD rulemaking with respect to participation in the Networking system is enclosed...

October 30, 1991 TO: BROKER/DEALER ADVISORY COMMITTEE NO. 36-91 RE: 1. AGENDA FOR NOVEMBER 12, 1991 MEETING 2. MINUTES & ATTACHMENTS OF SEPTEMBER 24-25, 1991 MEETING __________________________________________________________ Attached is the agenda for the Broker/Dealer Advisory...

October 24, 1991 TO: BROKER/DEALER ADVISORY COMMITTEE NO. 34-91 RE: PENDING BROKER REGISTRATION/FUND ACKNOWLEDGMENT STATUS REPORT __________________________________________________________ Enclosed is a copy of the Registration Status Report as of September 30, 1991. This report is...

October 24, 1991 TO: BROKER/DEALER ADVISORY COMMITTEE NO. 35-91 RE: MUTUAL FUNDS STATUS REPORT FOR MONTH ENDING SEPTEMBER, 1991 __________________________________________________________ Attached is a copy of the Mutual Funds Status Report for the month ending September, 1991. We will...

October 4, 1991 TO: BROKER/DEALER ADVISORY COMMITTEE NO. 33-91 RE: NOTICE OF MEETING - NOVEMBER 12, 1991 __________________________________________________________ This is to advise you that there will be a meeting of the Broker/Dealer Advisory Committee starting at 2:00 p.m. on...

October 3, 1991 TO: BROKER/DEALER ADVISORY COMMITTEE NO. 32-91 RE: MUTUAL FUNDS STATUS REPORT FOR MONTH ENDING AUGUST, 1991 __________________________________________________________ Attached is a copy of the Mutual Funds Status Report for the month ending August, 1991. We will...

September 16, 1991 TO: SEC RULES COMMITTEE NO. 55-91 UNIT INVESTMENT TRUST COMMITTEE NO. 30-91 BROKER/DEALER ADVISORY COMMITTEE NO. 31-91 INSURANCE BROKER-DEALER ADVISORY COMMITTEE NO. 10-91 RE: SEC PROPOSES TEMPORARY RULES TO IMPLEMENT BROKER-DEALER RISK ASSESSMENT PROVISIONS OF...

September 11, 1991 TO: BROKER/DEALER ADVISORY COMMITTEE NO. 30-91 RE: AGENDA AND MINUTES __________________________________________________________ The agenda for the September 24-25, 1991 meeting is enclosed along with the minutes of the previous meeting and an attachment to the...

August 29, 1991 TO: BROKER/DEALER ADVISORY COMMITTEE NO. 29-91 DIRECT MARKETING COMMITTEE NO. 30-91 OPERATIONS COMMITTEE NO. 26-91 SALES FORCE MARKETING COMMITTEE NO. 30-91 SEC RULES COMMITTEE NO. 51-91 SHAREHOLDER COMMUNICATIONS COMMITTEE NO. 26-91 RE: PROPOSED TELEMARKETING...