Sales and Marketing Content

    [21320]   June 29, 2007 TO: SALES FORCE MARKETING COMMITTEE No. 6-07 RE: AGENDA: 9/27/07 SALES FORCE MARKETING COMMITTEE MEETING   As we previously informed you, the fall 2007 meeting of the Investment Company Institute’s Sales Force Marketing Committee will be held from 8:30 am...

    [20905]   February 28, 2007 TO: COMPLIANCE MEMBERS No. 11-07 BROKER/DEALER ADVISORY COMMITTEE No. 15-07 SEC RULES MEMBERS No. 25-07 SMALL FUNDS MEMBERS No. 18-07 SALES FORCE MARKETING COMMITTEE No. 4-07     RE: STATE OF WASHINGTON FINES FUND DISTRIBUTOR FOR VIOLATIONS OF THE...

    [20900]   February 26, 2007 TO: INTERNAL SALES MANAGERS ROUNDTABLE No. 3-07 SALES FORCE MARKETING COMMITTEE No. 3-07     RE: NASD REQUESTS COMMENT ON PROPOSED HARMONIZATION OF NASD AND NYSE DEFINITION OF “BRANCH OFFICE”   Last year, NASD and the New York Stock Exchange (NYSE)...

    [20885]   February 20, 2007 TO: COMPLIANCE MEMBERS No. 9-07 BROKER/DEALER ADVISORY COMMITTEE No. 13-07 SALES FORCE MARKETING COMMITTEE No. 2-07 SEC RULES MEMBERS No. 22-07 SMALL FUNDS MEMBERS No. 17-07     RE: NASD SANCTIONS THREE BROKER-DEALERS FOR VIOLATIONS OF THE NON-CASH...

    [20756]   January 4, 2007 TO: SALES FORCE MARKETING COMMITTEE No. 1-07     RE: AGENDA: 2/8/07 SALES FORCE MARKETING COMMITTEE MEETING   A preliminary agenda for the February 8, 2007, meeting of the Investment Company Institute’s Sales Force Marketing Committee is attached. As you...

©2006 Investment Company Institute. All rights reserved. Information may be abridged and therefore incomplete. Communications from the Institute do not constitute, and should not be considered a substitute for, legal advice. [20595] November 20, 2006 TO: SALES FORCE MARKETING...

©2006 Investment Company Institute. All rights reserved. Information may be abridged and therefore incomplete. Communications from the Institute do not constitute, and should not be considered a substitute for, legal advice. [20342] September 1, 2006 TO: SALES FORCE MARKETING...

©2006 Investment Company Institute. All rights reserved. Information may be abridged and therefore incomplete. Communications from the Institute do not constitute, and should not be considered a substitute for, legal advice. [20219] July 26, 2006 TO: SALES FORCE MARKETING COMMITTEE No...

©2006 Investment Company Institute. All rights reserved. Information may be abridged and therefore incomplete. Communications from the Institute do not constitute, and should not be considered a substitute for, legal advice. [20164] July 7, 2006 TO: SALES FORCE MARKETING COMMITTEE No...

©2006 Investment Company Institute. All rights reserved. Information may be abridged and therefore incomplete. Communications from the Institute do not constitute, and should not be considered a substitute for, legal advice. [20148] June 30, 2006 TO: SALES FORCE MARKETING COMMITTEE No...