Sales and Marketing Content

[11332] October 21, 1999 TO: SALES FORCE MARKETING COMMITTEE No. 20-99 RE: SURVEY RESULTS: MUTUAL FUND WHOLESALERS ______________________________________________________________________________ As you are aware, the Investment Company Institute’s Sales Force Marketing Committee...

[11304] October 12, 1999 TO: DIRECT MARKETING COMMITTEE No. 15-99 INDUSTRY STATISTICS COMMITTEE No. 11-99 PUBLIC INFORMATION COMMITTEE No. 40-99 RESEARCH COMMITTEE No. 12-99 SALES FORCE MARKETING COMMITTEE No. 19-99 SHAREHOLDER COMMUNICATIONS COMMITTEE No. 13-99 RE: 2000 JOINT WINTER...

[11278] September 29, 1999 TO: ACCOUNTING/TREASURERS COMMITTEE No. 31-99 DIRECT MARKETING COMMITTEE No. 14-99 INVESTMENT ADVISERS COMMITTEE No. 14-99 OPERATIONS MEMBERS No. 21-99 PENSION MEMBERS No. 35-99 PENSION OPERATIONS ADVISORY COMMITTEE No. 44-99 PRIMARY CONTACTS - MEMBER...

1 NASD Notice to Members 99-81 (September 1999) (“Notice”). 2 NASD Notice to Members 97-50 (August 1997). The Institute recommended at that time that NASDR continue to regulate cash compensation paid to broker-dealer firms through written disclosure requirements. We suggested that...

[11202] August 20, 1999 TO: SALES FORCE MARKETING COMMITTEE No. 16-99 RE: MUTUAL FUND WHOLESALERS ______________________________________________________________________________ A task force (list of members attached) of the Investment Company Institute’s Sales Force Marketing...

[11152] August 2, 1999 TO: SALES FORCE MARKETING COMMITTEE No. 15-99 RE: MINUTES: JUNE 30, 1999 MEETING ______________________________________________________________________________ Enclosed are the minutes of the June 30, 1999 meeting of the Investment Company Institute’s Sales...

[11118] July 15, 1999 TO: SALES FORCE MARKETING COMMITTEE No. 14-99 BROKER/DEALER ASSOCIATE MEMBERS No. 7-99 RE: NASDR ISSUES QUESTIONS AND ANSWERS RELATING TO NON-CASH COMPENSATION RULES ______________________________________________________________________________ As you are aware...

[11106] July 9, 1999 TO: SALES FORCE MARKETING COMMITTEE No. 13-99 RE: MUTUAL FUND WHOLESALERS ______________________________________________________________________________ At the June 30, 1999 meeting of the Institute’s Sales Force Marketing Committee, the Committee briefly...

[11043] June 10, 1999 TO: BROKER/DEALER ASSOCIATE MEMBERS No. 6-99 DIRECT MARKETING COMMITTEE No. 12-99 INDUSTRY STATISTICS COMMITTEE No. 5-99 INVESTMENT ADVISER ASSOCIATE MEMBERS No. 13-99 PRIMARY CONTACTS - MEMBER COMPLEX No. 61-99 PUBLIC INFORMATION COMMITTEE No. 27-99 RESEARCH...

[11044] June 8, 1999 TO: DIRECT MARKETING COMMITTEE No. 11-99 SALES FORCE MARKETING COMMITTEE No. 11-99 RE: FINAL NOTICE: JUNE 30, 1999 COMMITTEE MEETINGS ______________________________________________________________________________ Attached are final agendas for the June 30th...