Broker/Dealer Advisory Content

December 11, 1989 TO: BOARD OF GOVERNORS NO. 73-89 SEC RULES MEMBERS NO. 68-89 UNIT INVESTMENT TRUST MEMBERS NO. 67-89 CLOSED-END FUND MEMBERS NO. 66-89 ACCOUNTING/TREASURERS COMMITTEE NO. 54-89 BROKER/DEALER ADVISORY COMMITTEE NO. 55-89 JOINT TASK FORCE ON UIT YIELD YIELD...

November 15, 1989 TO: BROKER/DEALER ADVISORY COMMITTEE NO. 54-89 RE: FUND/SERV STATUS REPORT FOR MONTH ENDING OCTOBER, 1989 __________________________________________________________ Attached is a copy of the Fund/SERV Status Report for the month ending October, 1989. We will continue...

November 15, 1989 TO: BROKER/DEALER ADVISORY COMMITTEE NO. 53-89 FUND/SERV PARTICIPANTS RE: PENDING BROKER REGISTRATION/FUND ACKNOWLEDGMENT STATUS REPORT __________________________________________________________ Attached is a copy of the Registration Status Report as of October 31...

November 10, 1989 TO: SEC RULES COMMITTEE NO. 71-89 BROKER/DEALER ADVISORY COMMITTEE NO. 52-89 RE: AMENDMENTS TO SERIES 6 EXAMINATION AND STUDY OUTLINE __________________________________________________________ The NASD has recently amended the examination specifications and study...

October 24, 1989 TO: BROKER/DEALER ADVISORY COMMITTEE NO. 50-89 RE: FUND/SERV STATUS REPORT FOR MONTH ENDING SEPTEMBER, 1989 __________________________________________________________ Attached is a copy of the Fund/SERV Status Report for the month ending September, 1989. We will...

October 24, 1989 TO: BROKER/DEALER ADVISORY COMMITTEE NO. 51-89 RE: BROKER/DEALER ADVISORY COMMITTEE MEETING - NOVEMBER 3, 1989 - ORLANDO, FLORIDA __________________________________________________________ Attached is the documentation for the National Securities Clearing Corporation...

October 23, 1989 TO: BROKER/DEALER ADVISORY COMMITTEE NO. 49-89 FUND/SERV PARTICIPANTS RE: PENDING BROKER REGISTRATION/FUND ACKNOWLEDGMENT STATUS REPORT __________________________________________________________ Attached is a copy of the Registration Status Report as of September 29...

October 19, 1989 TO: SEC RULES MEMBERS NO. 60-89 CLOSED-END FUND MEMBERS NO. 58-89 INVESTMENT ADVISER MEMBERS NO. 52-89 INVESTMENT ADVISER ASSOCIATE MEMBERS NO. 53-89 STATE SECURITIES MEMBERS NO. 36-89 UNIT INVESTMENT TRUST MEMBERS NO. 57-89 BROKER/DEALER ADVISORY COMMITTEE NO. 48-89...

October 11, 1989 TO: SEC RULES COMMITTEE NO. 61-89 BROKER/DEALER ADVISORY COMMITTEE NO. 47-89 RE: SEC PROPOSES AMENDMENTS TO NET CAPITAL RULE __________________________________________________________ The Securities and Exchange Commission has proposed amendments to the net capital...

October 5, 1989 TO: BROKER/DEALER ADVISORY COMMITTEE NO. 46-89 RE: SUMMARY OF MAJOR ITEMS AGREED UPON AT SEPTEMBER 26-27 MEETINGS __________________________________________________________ Attached is a copy of Mr. Hernandez's summary of the points agreed upon at the September 26-27...