Broker/Dealer Advisory Content

July 25, 1989 TO: BROKER/DEALER ADVISORY COMMITTEE NO. 35-89 FUND/SERV PARTICIPANTS RE: PENDING BROKER REGISTRATION/FUND ACKNOWLEDGMENT STATUS REPORT __________________________________________________________ Attached is a copy of the Registration Status Report as of June 30, 1989...

July 18, 1989 TO: BROKER/DEALER ADVISORY COMMITTEE NO. 34-89 RE: FUND/SERV STATUS REPORT FOR MONTH ENDING JUNE, 1989 __________________________________________________________ Attached is a copy of the FUND/Serv Status Report for the month ending June, 1989. We will continue to send...

July 18, 1989 TO: BROKER/DEALER ADVISORY COMMITTEE NO. 33-89 RE: 1. AGENDA - JULY 25-26 MEETING IN SOMERSET, NEW JERSEY 2. MINUTES - JUNE 16 MEETING IN BOSTON __________________________________________________________ Enclosed is the agenda for the upcoming Broker/Dealer Advisory...

July 17, 1989 TO: SEC RULES COMMITTEE NO. 37-89 INTERNATIONAL FUNDS TASK FORCE NO. 3-89 CLOSED-END FUND COMMITTEE NO. 25-89 BROKER/DEALER ADVISORY COMMITTEE NO. 32-89 RE: ADOPTION OF RULE 15a-6 AND PROPOSAL OF CONCEPT RELEASE __________________________________________________________...

-1- July 7, 1989 TO: SEC RULES COMMITTEE NO. 35-89 UNIT INVESTMENT TRUST COMMITTEE NO. 33-89 CLOSED-END FUND COMMITTEE NO. 24-89 BROKER/DEALER ADVISORY COMMITTEE NO. 31-89 RE: NASD REPROPOSES AMENDMENTS CONCERNING CASH AND NON-CASH CONCESSIONS IN CONNECTION WITH THE RETAIL SALE OF...

July 5, 1989 TO: SEC RULES MEMBERS NO. 31-89 UNIT INVESTMENT TRUST MEMBERS NO. 33-89 BROKER/DEALER ADVISORY COMMITTEE NO. 30-89 CLOSED-END FUND MEMBERS NO. 27-89 RE: NASD SUPERVISORY PROCEDURES __________________________________________________________ The Institute has received...

June 23, 1989 TO: SEC RULES COMMITTEE NO. 31-89 UNIT INVESTMENT TRUST COMMITTEE NO. 28-89 CLOSED-END FUND COMMITTEE NO. 21-89 BROKER/DEALER ADVISORY COMMITTEE NO. 29-89 MARKETING COMMITTEE NO. 19-89 RE: LEGAL INVESTMENT LAWS SURVEY _____________________________________________________...

June 19, 1989 TO: BROKER/DEALER ADVISORY COMMITTEE NO. 28-89 RE: NOTICE OF TWO-DAY MEETING: JULY 25-26, 1989 __________________________________________________________ This is to confirm the two-day meeting of the Broker/Dealer Advisory Committee on Tuesday, July 25 and Wednesday...

June 16, 1989 TO: OPERATIONS COMMITTEE NO. 10-89 SEC RULES COMMITTEE NO. 28-89 BROKER/DEALER ADVISORY COMMITTEE NO. 27-89 TRANSFER AGENT SHAREHOLDER ACCOUNTING ADV. COMMITTEE NO. 12-89 RE: SEC APPROVES NASD PROPOSAL OF NEW REGISTRATION CATEGORY -- ADOPTING RELEASE CLARIFIES THAT...

June 15, 1989 TO: BROKER/DEALER ADVISORY COMMITTEE NO. 26-89 RE: FUND/SERV STATUS REPORT FOR MONTH ENDING MAY, 1989 __________________________________________________________ Attached is the Fund/SERV Status Report for the month ending May, 1989. We will continue to send you these...