Broker/Dealer Advisory Content

URGENT/ACTION REQUESTED [15082] August 29, 2002 TO: BROKER/DEALER ADVISORY COMMITTEE No. 34-02 COMPLIANCE ADVISORY COMMITTEE No. 67-02 INTERNATIONAL COMMITTEE No. 62-02 INTERNATIONAL OPERATIONS ADVISORY COMMITTEE No. 36-02 MONEY LAUNDERING RULES WORKING GROUP No. 50-02 PRIMARY...

URGENT/ACTION REQUESTED [15071] August 27, 2002 TO: BROKER/DEALER ADVISORY COMMITTEE No. 33-02 COMPLIANCE ADVISORY COMMITTEE No. 65-02 INTERNATIONAL COMMITTEE No. 61-02 INTERNATIONAL OPERATIONS ADVISORY COMMITTEE No. 35-02 MONEY LAUNDERING RULES WORKING GROUP No. 49-02 PRIMARY...

[15069] August 26, 2002 TO: BROKER/DEALER ADVISORY COMMITTEE No. 32-02 COMPLIANCE ADVISORY COMMITTEE No. 64-02 INTERNAL AUDIT ADVISORY COMMITTEE No. 8-02 INTERNATIONAL MEMBERS No. 24-02 INTERNATIONAL OPERATIONS ADVISORY COMMITTEE No. 34-02 MONEY LAUNDERING RULES WORKING GROUP No. 48...

[15043] August 15, 2002 TO: BROKER/DEALER ADVISORY COMMITTEE No. 31-02 END OF DAY PRICING FORUM No. 4-02 OPERATIONS COMMITTEE No. 14-02 TRANSFER AGENT ADVISORY COMMITTEE No. 70-02 RE: ICI EMERGENCY RESPONSE PLANS Following the terrorist attacks on September 11, 2001, the U.S...

URGENT/ACTION REQUESTED [15036] August 13, 2002 TO: BROKER/DEALER ADVISORY COMMITTEE No. 30-02 COMPLIANCE ADVISORY COMMITTEE No. 62-02 INTERNATIONAL COMMITTEE No. 60-02 INTERNATIONAL OPERATIONS ADVISORY COMMITTEE No. 33-02 MONEY LAUNDERING RULES WORKING GROUP No. 45-02 PRIMARY...

URGENT [15028] August 12, 2002 TO: BROKER/DEALER ADVISORY COMMITTEE No. 29-02 COMPLIANCE ADVISORY COMMITTEE No. 60-02 INTERNATIONAL COMMITTEE No. 58-02 INTERNATIONAL OPERATIONS ADVISORY COMMITTEE No. 32-02 MONEY LAUNDERING RULES WORKING GROUP No. 44-02 PRIMARY CONTACTS - MEMBER...

[15015] August 9, 2002 TO: BROKER/DEALER ADVISORY COMMITTEE No. 28-02 MONEY LAUNDERING RULES WORKING GROUP No. 43-02 RE: TREASURY PROPOSES FORM FOR BROKER-DEALER SUSPICIOUS ACTIVITY REPORTING As you know, the Department of the Treasury recently adopted a rule that will require every...

[14983] August 2, 2002 TO: ACCOUNTING/TREASURERS COMMITTEE No. 37-02 BANK AND TRUST ADVISORY COMMITTEE No. 7-02 BROKER/DEALER ADVISORY COMMITTEE No. 25-02 CLOSED-END INVESTMENT COMPANY COMMITTEE No. 31-02 OPERATIONS COMMITTEE No. 11-02 TAX COMMITTEE No. 23-02 TRANSFER AGENT ADVISORY...

[14985] August 2, 2002 TO: ACCOUNTING/TREASURERS MEMBERS No. 22-02 BANK AND TRUST ADVISORY COMMITTEE No. 8-02 BROKER/DEALER ADVISORY COMMITTEE No. 26-02 CLOSED-END INVESTMENT COMPANY MEMBERS No. 30-02 OPERATIONS MEMBERS No. 22-02 TAX MEMBERS No. 36-02 TRANSFER AGENT ADVISORY COMMITTEE...

[14972] July 30, 2002 TO: BROKER/DEALER ADVISORY COMMITTEE No. 24-02 COMPLIANCE ADVISORY COMMITTEE No. 55-02 INTERNAL AUDIT ADVISORY COMMITTEE No. 6-02 INTERNATIONAL MEMBERS No. 22-02 INTERNATIONAL OPERATIONS ADVISORY COMMITTEE No. 29-02 MONEY LAUNDERING RULES WORKING GROUP No. 41-02...