Broker/Dealer Advisory Content

October 4, 1989 TO: OPERATIONS MEMBERS NO. 29-89 SEC RULES MEMBERS NO. 54-89 TAX MEMBERS NO. 33-89 BROKER/DEALER ADVISORY COMMITTEE NO. 44-89 ACCOUNTING/TREASURERS MEMBERS NO. 5-89 RE: YEAR-END DIVIDEND REPORTING __________________________________________________________ During this...

October 4, 1989 TO: BROKER/DEALER ADVISORY COMMITTEE NO. 45-89 RE: NOTICE OF MEETING - NOVEMBER 3, 1989 __________________________________________________________ This is to advise you that there will be a meeting of the Broker/Dealer Advisory Committee on Friday, November 3, 1989...

September 19, 1989 TO: BROKER/DEALER ADVISORY COMMITTEE NO. 42-89 FUND/SERV PARTICIPANTS RE: PENDING BROKER REGISTRATION/FUND ACKNOWLEDGMENT STATUS REPORT __________________________________________________________ Attached is a copy of the Registration Status Report as of August 31...

September 19, 1989 TO: BROKER/DEALER ADVISORY COMMITTEE NO. 43-89 RE: FUND/SERV STATUS REPORT FOR MONTH ENDING AUGUST, 1989 __________________________________________________________ Attached is a copy of the Fund/SERV Status Report for the month ending August, 1989. We will continue...

September 7, 1989 TO: BROKER/DEALER ADVISORY COMMITTEE NO. 41-89 RE: 1. MEETING AGENDA - SEPTEMBER 26-27, 1989 2. NSCC STATUS REPORT FOR ALL MUTUAL FUND PROJECTS __________________________________________________________ Attached is the agenda for the September 26-27, 1989 Broker...

August 29, 1989 TO: SEC RULES MEMBERS NO. 48-89 UNIT INVESTMENT TRUST MEMBERS NO. 45-89 BROKER/DEALER ADVISORY COMMITTEE NO. 40-89 CLOSED-END FUND MEMBERS NO. 39-89 RE: NASD SUPERVISORY PROCEDURES CHECKLIST __________________________________________________________ Attached is a...

August 23, 1989 TO: BROKER/DEALER ADVISORY COMMITTEE NO. 39-89 RE: NOTICE OF TWO-DAY MEETING - SEPTEMBER 26-27, 1989 __________________________________________________________ This is to confirm the two-day meeting of the Broker/Dealer Advisory Committee on Tuesday, September 26 and...

August 14, 1989 TO: BROKER/DEALER ADVISORY COMMITTEE NO. 37-89 RE: FUND/SERV STATUS REPORT FOR MONTH ENDING JULY, 1989 __________________________________________________________ Attached is a copy of the Fund/SERV Status Report for the month ending July, 1989. We will continue to send...

August 14, 1989 TO: BROKER/DEALER ADVISORY COMMITTEE NO. 38-89 FUND/SERV PARTICIPANTS RE: PENDING BROKER REGISTRATION/FUND ACKNOWLEDGMENT STATUS REPORT __________________________________________________________ Attached is a copy of the Registration Status Report as of July 31, 1989...

August 2, 1989 TO: SEC RULES MEMBERS NO. 35-89 UNIT INVESTMENT TRUST MEMBERS NO. 41-89 BROKER/DEALER ADVISORY COMMITTEE NO. 36-89 CLOSED-END FUND MEMBERS NO. 32-89 RE: NASD SUPERVISORY PROCEDURES __________________________________________________________ Attached is the July NASD...