Broker/Dealer Advisory Content

March 29, 1989 TO: BROKER/DEALER ADVISORY COMMITTEE NO. 16-89 RE: FUND/SERV STATUS REPORT FOR MONTH ENDING FEBRUARY, 1989 __________________________________________________________ Attached is a copy of the Fund/SERV Status Report for the month ending February, 1989. We will continue...

March 20, 1989 TO: BROKER/DEALER ADVISORY COMMITTEE NO. 14-89 RE: 1. ACAT-FUND/SERV INTERFACE BUSINESS PLAN 2. FUND/SERV EXTENDED CORRECTION PROCESSING __________________________________________________________ 1. Attached please find the NSCC Business Plan for the ACATS- Fund/SERV...

March 20, 1989 TO: BROKER/DEALER ADVISORY COMMITTEE NO. 13-89 FUND/SERV PARTICIPANTS RE: PENDING BROKER REGISTRATION/FUND ACKNOWLEDGMENT FUND/SERV PARTICIPANTS __________________________________________________________ Attached is a copy of the Registration Status Report as of...

March 9, 1989 TO: BROKER/DEALER ADVISORY COMMITTEE NO. 12-89 RE: NOTICE OF TWO-DAY MEETING - CHANGE IN DATES NEW DATES: APRIL 27 & 28, 1989 __________________________________________________________ This is to advise you that the two-day meeting of the Broker/Dealer Advisory Committee...

February 21, 1989 TO: BROKER/DEALER ADVISORY COMMITTEE NO. 11-89 RE: IMPORTANT DATES FOR 1989 __________________________________________________________ In order to assist you in setting your schedule for the coming year, we have set the following dates for Broker/Dealer Advisory...

February 14, 1989 TO: BROKER/DEALER ADVISORY COMMITTEE NO. 10-89 RE: FUND/SERV STATUS REPORT FOR MONTH ENDING JANUARY, 1989 __________________________________________________________ Attached is a copy of the Fund/SERV Status Report for the month ending January, 1989. We will continue...

February 10, 1989 TO: BROKER/DEALER ADVISORY COMMITTEE NO. 9-89 RE: 1. REMINDER NOTICE OF BROKER/DEALER ADVISORY COMMITTEE MEETINGS - FEBRUARY 28 & MARCH 1, 1989 2. DINNER - FEBRUARY 28, 1989 __________________________________________________________ This is to remind you that a two...

February 9, 1989 TO: BROKER/DEALER ADVISORY COMMITTEE NO. 8-89 FUND/SERV PARTICIPANTS RE: PENDING BROKER REGISTRATION/FUND ACKNOWLEDGMENT STATUS REPORT __________________________________________________________ Attached is a copy of the Registration Status Report as of January 31...

February 6, 1989 TO: BROKER/DEALER ADVISORY COMMITTEE NO. 7-89 RE: NETWORKING PACKAGE #16 __________________________________________________________ Attached is Networking Package #16 from Steve Tunney of the National Securities Clearing Corporation. We will continue to distribute...

January 26, 1989 TO: SEC RULES MEMBERS NO. 4-89 STATE SECURITIES MEMBERS NO. 5-89 BROKER/DEALER ADVISORY COMMITTEE NO. 6-89 RE: IDAHO ISSUES RELEASE ON MUTUAL FUND WHOLESALERS __________________________________________________________ Attached is a recent release of the Idaho...