Broker/Dealer Advisory Content

May 15, 1990 TO: BROKER/DEALER ADVISORY COMMITTEE NO. 17-90 FUND/SERV PARTICIPANTS RE: PENDING BROKER REGISTRATION/FUND ACKNOWLEDGMENT STATUS REPORT __________________________________________________________ Attached is a copy of the Registration Status Report as of April 30, 1990...

April 11, 1990 TO: BROKER/DEALER ADVISORY COMMITTEE NO. 15-90 FUND/SERV PARTICIPANTS RE: PENDING BROKER REGISTRATION/FUND ACKNOWLEDGMENT STATUS REPORT __________________________________________________________ Enclosed is a copy of the Registration Status Report as of March 30, 1990...

April 11, 1990 TO: BROKER/DEALER ADVISORY COMMITTEE NO. 16-90 RE: FUND/SERV STATUS REPORT FOR MONTH ENDING MARCH, 1990 __________________________________________________________ Attached is a copy of the Fund/SERV Status Report for the month ending March, 1990. We will continue to...

April 4, 1990 TO: BOARD OF GOVERNORS NO. 22-90 MONEY MARKET MEMBERS - ONE PER COMPLEX NO. 4-90 SEC RULES COMMITTEE NO. 20-90 STATE LIAISON COMMITTEE NO. 7-90 UNIT INVESTMENT TRUST COMMITTEE NO. 15-90 BROKER/DEALER ADVISORY COMMITTEE NO. 14-90 BROKER/DEALER ASSOCIATE MEMBERS NO. 2-90...

March 28, 1990 TO: BROKER/DEALER ADVISORY COMMITTEE NO. 12-90 RE: NOTICE OF TWO-DAY MEETING -- CHANGE OF DATES NEW DATES: JUNE 25-26, 1990 __________________________________________________________ This is to advise you that the two-day meeting of the Broker/Dealer Advisory Committee...

March 28, 1990 TO: SEC RULES MEMBERS NO. 25-90 BROKER/DEALER ADVISORY COMMITTEE NO. 13-90 BROKER-DEALER ASSOCIATE MEMBERS RE: SEC STUDY ON BROKER-DEALER CHINESE WALL PROCEDURES ________________________________________________________ The SEC's Division of Market Regulation recently...

March 12, 1990 TO: BROKER/DEALER ADVISORY COMMITTEE NO. 11-90 FUND/SERV PARTICIPANTS RE: PENDING BROKER REGISTRATION/FUND ACKNOWLEDGMENT STATUS REPORT __________________________________________________________ Attached is a copy of the Registration Status Report as of February 28...

March 12, 1990 TO: BROKER/DEALER ADVISORY COMMITTEE NO. 10-90 RE: FUND/SERV STATUS REPORT FOR MONTH ENDING FEBRUARY, 1990 __________________________________________________________ Attached is a copy of the Fund/SERV Status Report for the month ending February, 1990. We will continue...

- 1 - March 5, 1990 TO: SEC RULES MEMBERS NO. 19-90 BROKER/DEALER ADVISORY COMMITTEE NO. 9-90 BROKER-DEALER ASSOCIATE MEMBERS RE: NASD PROPOSED AMENDMENTS CONCERNING CUSTOMER ACCOUNT INFORMATION __________________________________________________________ The NASD is requesting its...

February 16, 1990 TO: CONTRACTUAL PLANS COMMITTEE NO. 1-90 OPERATIONS COMMITTEE NO. 3-90 SMALL FUNDS COMMITTEE NO. 4-90 ACCOUNTING/TREASURERS COMMITTEE NO. 4-90 INDEPENDENT ACCOUNTANTS ADVISORY GROUP BROKER/DEALER ADVISORY COMMITTEE NO. 8-90 CUSTODIAN ADVISORY COMMITTEE NO. 1-90...