CCO (Chief Compliance Officer) Content

    [23849]   October 6, 2009 TO: CHIEF COMPLIANCE OFFICER COMMITTEE No. 14-09     RE: PAULINE SCALVINO OF VANGUARD APPOINTED NEW CHAIR OF ICI'S CHIEF COMPLIANCE OFFICER COMMITTEE   I am pleased to announce that the ICI’s Board of Governors has approved the appointment of Pauline...

    [23840]   October 2, 2009 TO: CHIEF COMPLIANCE OFFICER COMMITTEE No. 13-09     RE: NOVEMBER COMMITTEE MEETING POSTPONED UNTIL JANUARY 2010   In August, the Institute announced that the next scheduled meeting of the CCO Committee would be held on November 18th, the day following...

    [23744]   August 31, 2009 TO: CHIEF COMPLIANCE OFFICER COMMITTEE No. 12-09     RE: CCO COMMITTEE MEETING SET FOR NOVEMBER 18 FOLLOWING SEC'S NATIONAL CCOUTREACH PROGRAM; NEXT COMPLIANCE CONFERENCE MAY 6-7, 2010   The Securities and Exchange Commission has announced that it intends...

[23660]   July 29, 2009 TO: ACCOUNTING/TREASURERS MEMBERS No. 34-09 CHIEF COMPLIANCE OFFICER COMMITTEE No. 11-09 CLOSED-END INVESTMENT COMPANY MEMBERS No. 30-09 COMPLIANCE MEMBERS No. 35-09 ETF ADVISORY COMMITTEE No. 23-09 EQUITY MARKETS ADVISORY COMMITTEE No. 34-09 INVESTMENT ADVISER...

    [23520]   June 10, 2009 TO: BROKER/DEALER ADVISORY COMMITTEE No. 27-09 CHIEF COMPLIANCE OFFICER COMMITTEE No. 10-09 EQUITY MARKETS ADVISORY COMMITTEE No. 22-09 SEC RULES COMMITTEE No. 31-09     RE: FINRA REPROPOSES RULE ADDRESSING THE CIRCULATION OF RUMORS   As you know, last...

    [23493]   May 28, 2009 TO: SEC RULES COMMITTEE No. 27-09 CLOSED-END INVESTMENT COMPANY COMMITTEE No. 8-09 CHIEF COMPLIANCE OFFICER COMMITTEE No. 9-09 SMALL FUNDS COMMITTEE No. 8-09 INVESTMENT ADVISERS COMMITTEE No. 3-09     RE: ICI DRAFT COMMENT LETTER ON FINRA NOTICE TO MEMBERS...

[23427] April 30, 2009 TO: CHIEF COMPLIANCE OFFICER COMMITTEE No. 8-09 CLOSED-END INVESTMENT COMPANY COMMITTEE No. 7-09 INVESTMENT ADVISERS COMMITTEE No. 1-09 SEC RULES COMMITTEE No. 21-09 SMALL FUNDS COMMITTEE No. 7-09 RE: FINRA NOTICE TO MEMBERS ON ASSOCIATED PERSON REPORTING OF...

    [23369]   April 1, 2009 TO: CHIEF COMPLIANCE OFFICER COMMITTEE No. 7-09 COMPLIANCE ADVISORY COMMITTEE No. 4-09     RE: NEW DATE AND LOCATION FOR 2009 MUTUAL FUND COMPLIANCE PROGRAMS CONFERENCE; SPECIAL JOINT COMMITTEE MEETING, MAY 8TH   The 2009 Mutual Fund Compliance Programs...

    [23325]   March 18, 2009 TO: CHIEF COMPLIANCE OFFICER COMMITTEE No. 6-09 COMPLIANCE ADVISORY COMMITTEE No. 3-09 INST. MONEY MARKET FUNDS ADVISORY COMMITTEE No. 9-09 MONEY MARKET FUNDS ADVISORY COMMITTEE No. 9-09 MUNICIPAL SECURITIES ADVISORY COMMITTEE No. 8-09 SEC RULES COMMITTEE...

    [23265]   February 20, 2009 TO: BANK, TRUST AND RECORDKEEPER ADVISORY COMMITTEE No. 6-09 BROKER/DEALER ADVISORY COMMITTEE No. 8-09 CHIEF COMPLIANCE OFFICER COMMITTEE No. 4-09 COMPLIANCE ADVISORY COMMITTEE No. 1-09 SEC RULES COMMITTEE No. 7-09 TRANSFER AGENT ADVISORY COMMITTEE No...