Broker/Dealer Advisory Content

December 10, 1990 TO: OPERATIONS MEMBERS NO. 34-90 ACCOUNTING/TREASURERS MEMBERS NO. 28-90 SEC RULES MEMBERS NO. 83-90 TAX MEMBERS NO. 54-90 CLOSED-END FUND MEMBERS NO. 50-90 BROKER/DEALER ADVISORY COMMITTEE NO. 47-90 TRANSFER AGENT ADVISORY COMMITTEE NO. 50-90 RE: NSCC'S MUTUAL FUND...

December 7, 1990 TO: BROKER/DEALER ADVISORY COMMITTEE NO. 46-90 RE: DOCUMENTATION FOR NSCC'S PORTION OF THE DECEMBER 14, 1990 MEETING __________________________________________________________ Attached is the documentation for the National Securities Clearing Corporation's portion of...

December 4, 1990 TO: SEC RULES MEMBERS NO. 81-90 BROKER/DEALER ADVISORY COMMITTEE NO. 45-90 BROKER/DEALER ASSOCIATE MEMBERS NO. 5-90 RE: NASD CUSTOMER ACCOUNT INFORMATION RULE __________________________________________________________ As we previously informed you, the NASD adopted...

December 4, 1990 TO: BROKER/DEALER ADVISORY COMMITTEE NO. 44-90 RE: MEETING AGENDA - DECEMBER 14, 1990 __________________________________________________________ Attached is the agenda for the December 14, 1990 Broker/Dealer Advisory Committee meeting which will be held starting at 8...

1 */ The BDAC members of the liaison group also served as representatives of the Technical Tax Committee of the Securities Industry Association (SIA). - 1 - November 26, 1990 TO: OPERATIONS MEMBERS NO. 33-90 ACCOUNTING/TREASURERS MEMBERS NO. 24-90 TAX MEMBERS NO. 50-90 SEC RULES...

November 21, 1990 TO: BROKER/DEALER ADVISORY COMMITTEE NO. 42-90 RE: FUND/SERV STATUS REPORT FOR MONTH ENDING OCTOBER, 1990 __________________________________________________________ Attached is a copy of the Fund/SERV Status Report for the month ending October, 1990. We will continue...

November 20, 1990 TO: BROKER/DEALER ADVISORY COMMITTEE NO. 41-90 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 9, 1990 TO: BROKER/DEALER ADVISORY COMMITTEE NO. 40-90 RE: NOTICE OF MEETING - DECEMBER 14, 1990 __________________________________________________________ This is to advise you that there will be a meeting of the Broker/Dealer Advisory Committee starting at 8:30 a.m. on...

November 6, 1990 TO: MEMBERS - ONE PER COMPLEX NO. 49-90 CLOSED-END FUND MEMBERS NO. 43-90 INVESTMENT ADVISER ASSOCIATE MEMBERS NO. 47-90 INVESTMENT ADVISER MEMBERS NO. 52-90 OPERATIONS MEMBERS NO. 32-90 SEC RULES MEMBERS NO. 75-90 UNIT INVESTMENT TRUST MEMBERS NO. 71-90 ACCOUNTING...

November 2, 1990 TO: BROKER/DEALER ADVISORY COMMITTEE NO. 38-90 RE: A.G. EDWARDS POSITION PAPER - GROUP OF THIRTY CLEARANCE AND SETTLEMENT PROJECT __________________________________________________________ Enclosed for your review is a position paper by A.G. Edwards entitled "Group of...