Broker/Dealer Advisory Content

August 16, 1991 TO: BROKER/DEALER ADVISORY COMMITTEE NO. 28-91 RE: MUTUAL FUNDS STATUS REPORT FOR MONTH ENDING JULY, 1991 __________________________________________________________ Attached is a copy of the Mutual Funds Status Report for the month ending July, 1991. We will continue...

August 1, 1991 TO: BROKER/DEALER ADVISORY COMMITTEE NO. 27-91 RE: MEETING - SEPTEMBER 24-25, 1991 AND CHANGE OF LOCATION __________________________________________________________ This is to confirm that there will be a meeting of the Broker/Dealer Advisory Committee starting at 2:00...

July 31, 1991 TO: SEC RULES COMMITTEE NO. 44-91 BROKER/DEALER ADVISORY COMMITTEE NO. 26-91 RE: INSTITUTE COMMENTS ON NASD PROPOSAL TO EXEMPT DIRECTLY MARKETED FUNDS FROM REQUIREMENT TO OBTAIN CUSTOMER EMPLOYMENT DATA __________________________________________________________ The...

July 18, 1991 TO: BROKER/DEALER ADVISORY COMMITTEE NO. 25-91 RE: MUTUAL FUNDS STATUS REORT FOR MONTH ENDING JUNE, 1991 __________________________________________________________ Attached is a copy of the Mutual Funds Status Report for the month ending June, 1991. We will continue to...

July 17, 1991 TO: BROKER/DEALER ADVISORY COMMITTEE NO. 24-91 RE: MEETING NOTICE - SEPTEMBER 25, 1991 MARK YOUR CALENDARS! __________________________________________________________ This memo is to advise you that the next meeting of the Broker/Dealer Advisory Committee will be held in...

July 9, 1991 TO: BROKER/DEALER ADVISORY COMMITTEE NO. 23-91 BROKER/DEALER ASSOCIATE MEMBERS NO. 3-91 COMPLIANCE COMMITTEE NO. 5-91 RE: NASD/NYSE JOINT MEMO ON CHINESE WALL POLICIES AND PROCEDURES __________________________________________________________ As we previously informed you...

July 8, 1991 TO: SEC RULES COMMITTEE NO. 36-91 BROKER/DEALER ADVISORY COMMITTEE NO. 22-91 RE: NASD PROPOSAL TO EXEMPT DIRECTLY MARKETED FUNDS FROM CUSTOMER ACCOUNT INFORMATION RULE REGARDING EMPLOYMENT DATA __________________________________________________________ The NASD is...

June 14, 1991 TO: BROKER/DEALER ADVISORY COMMITTEE NO. 21-91 INSURANCE BROKER-DEALER ADVISORY COMMITTEE NO. 6-91 OPERATIONS COMMITTEE NO. 19-91 TRANSFER AGENT ADVISORY COMMITTEE NO. 28-91 RE: PROPOSED REGULATIONS ON REPORTING OF TRANSACTIONS INVOLVING MONETARY INSTRUMENTS OF UNDER $10...

June 12, 1991 TO: BROKER/DEALER ADVISORY COMMITTEE NO. 20-91 FUND/SERV PARTICIPANTS RE: PENDING BROKER REGISTRATION/FUND ACKNOWLEDGMENT STATUS REPORT __________________________________________________________ Enclosed is a copy of the Registration Status Report as of May 31, 1991...

June 12, 1991 TO: BROKER/DEALER ADVISORY COMMITTEE NO. 19-91 RE: MUTUAL FUNDS STATUS REPORT FOR MONTH ENDING MAY, 1991 __________________________________________________________ Attached is a copy of the Mutual Funds Status Report for the month ending May, 1991. We will continue to...