Internal Sales Managers Roundtable Content

[16416] August 6, 2003 TO: SALES DESK MANAGERS ROUNDTABLE No. 8-03 RE: OCTOBER 9-10, 2003 ROUNDTABLE MEETING The Investment Company Institute’s Sales Desk Managers Roundtable will meet October 9-10, 2003 in Minneapolis, Minnesota. American Express Financial Advisors (AEFA) will host...

[16351] July 25, 2003 TO: SALES DESK MANAGERS ROUNDTABLE No. 7-03 SALES FORCE MARKETING COMMITTEE No. 12-03 RE: REPORT OF THE JOINT NASD/INDUSTRY TASK FORCE ON SALES CHARGE BREAKPOINTS Last January, the Chairman of the Securities and Exchange Commission requested that NASD, together...

[16263] July 3, 2003 TO: SALES DESK MANAGERS ROUNDTABLE No. 5-03 RE: CHANGE IN MEETING DATES Please note that we have changed the dates of the fall 2003 meeting of the Investment Company Institute’s Sales Desk Managers Roundtable. The new dates for the meeting are October 9-10, 2003...

[16264] July 3, 2003 TO: SALES DESK MANAGERS ROUNDTABLE No. 6-03 SALES FORCE MARKETING COMMITTEE No. 10-03 DIRECT MARKETING COMMITTEE No. 8-03 RE: INSTITUTE MEMORANDUM REGARDING SHORTCOMINGS IN HEDGE FUND PERFORMANCE MEASURES The Securities and Exchange Commission recently solicited...

[16253] June 30, 2003 TO: SALES DESK MANAGERS ROUNDTABLE No. 4-03 SALES FORCE MARKETING COMMITTEE No. 9-03 RE: NASD ISSUES INVESTOR ALERT ON CLASS B MUTUAL FUND SHARES In conjunction with issuing a recent enforcement action relating to the unsuitable sale of Class B shares of a mutual...

[15773] March 19, 2003 TO: SALES DESK MANAGERS ROUNDTABLE No. 3-03 RE: REGISTRATIONS DUE: APRIL 10, 2003 ROUNDTABLE MEETING A final agenda for the April 10, 2003 meeting of the Investment Company Institute’s Sales Desk Managers Roundtable is attached. As you will note, Charlie O’Neill...

[15731] March 6, 2003 TO: SALES DESK MANAGERS ROUNDTABLE No. 2-03 RE: APRIL 10, 2003 ROUNDTABLE MEETING As we previously informed you, the next meeting of the Investment Company Institute’s Sales Desk Managers Roundtable has been scheduled for Thursday, April 10, 2003 at the Institute...

[15637] February 10, 2003 TO: SALES DESK MANAGERS ROUNDTABLE No. 1-03 RE: APRIL 10, 2003 ROUNDTABLE MEETING The next meeting of the Investment Company Institute’s Sales Desk Managers Roundtable has been scheduled for Thursday, April 10, 2003 at the Institute offices at 1401 H Street...

[15353] November 18, 2002 TO: SALES DESK MANAGERS ROUNDTABLE No. 7-02 RE: MEETING MINUTES; MARK YOUR CALENDARS The minutes from the October 7-8, 2002 meeting of the Investment Company Institute’s Sales Desk Managers Roundtable are attached. Please mark your calendars for the spring...

[15186] September 18, 2002 TO: SALES DESK MANAGERS ROUNDTABLE No. 6-02 RE: MEETING REGISTRATION AND SURVEYS DUE If you have not yet returned your registration form for the October 7-8, 2002 meeting of the Investment Company Institute’s Sales Desk Managers Roundtable, please do so as...