Sales and Marketing Content

[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...

[16014] May 5, 2003 TO: SALES FORCE MARKETING COMMITTEE No. 6-03 RE: MINUTES: FEBRUARY 27, 2003 MEETING AND 2003 GMM Attached are minutes from the February 27, 2003 meeting of the Investment Company Institute’s Sales Force Marketing Committee. The next committee meeting has been...

[15893] April 11, 2003 TO: SALES FORCE MARKETING COMMITTEE No. 5-03 RE: NASD DISCIPLINARY ACTION CONCERNING DISCLOSURE OF SPECIAL CASH COMPENSATION ARRANGEMENTS A mutual fund distributor (“distributor”) and an affiliated broker-dealer firm (“broker- dealer”) recently settled an NASD...

[15882] April 9, 2003 TO: SALES FORCE MARKETING COMMITTEE No. 4-03 RE: SEC STAFF ISSUES NO-ACTION LETTER ON 12b-1 FEE REBATES The Division of Market Regulation of the Securities and Exchange Commission recently issued a no-action letter relating to the ability of a registered broker...

[15459] January 10, 2003 TO: ACCOUNTING/TREASURERS COMMITTEE No. 2-03 CONFERENCE PROMOTIONS DIRECT MARKETING COMMITTEE No. 2-03 INTERNATIONAL MEMBERS No. 1-03 INTERNATIONAL OPERATIONS ADVISORY COMMITTEE No. 2-03 NORTH AMERICA IBA MEMBERS OPERATIONS MEMBERS No. 2-03 PRIMARY CONTACTS -...

[15422] December 6, 2002 TO: SALES FORCE MARKETING COMMITTEE No. 24-02 RE: MEETING MINUTES; NOTICE OF FEBRUARY 2003 MEETING Attached are the minutes from the September 26, 2002 meeting of the Investment Company Institute’s Sales Force Marketing Committee. As a reminder, the next...

[14874] July 5, 2002 TO: DIRECT MARKETING COMMITTEE No. 17-02 SALES FORCE MARKETING COMMITTEE No. 14-02 RE: SEPTEMBER 26, 2002 COMMITTEE MEETINGS The Investment Company Institute’s Sales Force Marketing Committee and the Direct Marketing Committee will meet on Thursday, September 26...

[14781] June 11, 2002 TO: ACCOUNTING/TREASURERS COMMITTEE No. 27-02 DIRECT MARKETING COMMITTEE No. 16-02 INTERNATIONAL MEMBERS No. 14-02 OPERATIONS MEMBERS No. 17-02 PENSION MEMBERS No. 28-02 PRIMARY CONTACTS - MEMBER COMPLEX No. 46-02 RESEARCH COMMITTEE No. 12-02 SALES FORCE...

[14489] April 11, 2002 TO: ACCOUNTING/TREASURERS COMMITTEE No. 15-02 DIRECT MARKETING COMMITTEE No. 10-02 INTERNATIONAL MEMBERS No. 8-02 INTERNATIONAL OPERATIONS ADVISORY COMMITTEE No. 14-02 OPERATIONS MEMBERS No. 10-02 PENSION MEMBERS No. 15-02 PRIMARY CONTACTS - MEMBER COMPLEX No...

[14559] March 22, 2002 TO: 529 PLAN ADVISORY COMMITTEE No. 12-02 ACCOUNTING/TREASURERS COMMITTEE No. 12-02 CONFERENCE PROMOTIONS DIRECT MARKETING COMMITTEE No. 9-02 INVESTMENT ADVISER ASSOCIATE MEMBERS No. 9-02 INVESTMENT ADVISER MEMBERS No. 13-02 OPERATIONS MEMBERS No. 8-02 PENSION...