CCO (Chief Compliance Officer) Content

    [23032]   October 27, 2008 TO: CHIEF COMPLIANCE OFFICER COMMITTEE No. 18-08 COMPLIANCE ADVISORY COMMITTEE No. 18-08     RE: WEST COAST MEETING OF THE CCO AND COMPLIANCE ADVISORY COMMITTEES SCHEDULED IN SAN MATEO, CALIFORNIA FOR DEC. 17th ; RSVP BY DEC. 5th   To accommodate those...

    [23013] October 23, 2008 TO: ETF ADVISORY COMMITTEE No. 32-08 EQUITY MARKETS ADVISORY COMMITTEE No. 56-08 SEC RULES COMMITTEE No. 74-08 CLOSED-END INVESTMENT COMPANY COMMITTEE No. 33-08 ACCOUNTING/TREASURERS COMMITTEE No. 13-08 CHIEF COMPLIANCE OFFICER COMMITTEE No. 17-08...

    [22981]   October 9, 2008 TO: CHIEF COMPLIANCE OFFICER COMMITTEE No. 16-08     RE: EAST COAST CCO COMMITTEE MEETING NOTICE, RSVP BY OCTOBER 31st   As previously announced, The Institute’s CCO Committee will meet in Washington, DC on Friday, November 14th, the day following the SEC...

 [22977]  October 8, 2008 TO: PENSION MEMBERS No. 62-08 INVESTMENT ADVISER MEMBERS No. 14-08 SEC RULES MEMBERS No. 118-08 EQUITY MARKETS ADVISORY COMMITTEE No. 53-08 CHIEF COMPLIANCE OFFICER COMMITTEE No. 15-08     RE: DEPARTMENT OF LABOR ISSUES FINAL RULE ON CROSS TRADING POLICIES...

    [22953]   October 2, 2008 TO: CHIEF COMPLIANCE OFFICER COMMITTEE No. 14-08 CLOSED-END INVESTMENT COMPANY MEMBERS No. 49-08 COMPLIANCE MEMBERS No. 52-08 EQUITY MARKETS ADVISORY COMMITTEE No. 52-08 FIXED-INCOME ADVISORY COMMITTEE No. 29-08 INTERNATIONAL MEMBERS No. 15-08 SEC RULES...

[22903] September 23, 2008 TO: CHIEF COMPLIANCE OFFICER COMMITTEE No. 13-08 CLOSED-END INVESTMENT COMPANY COMMITTEE No. 32-08 COMPLIANCE ADVISORY COMMITTEE No. 15-08 EQUITY MARKETS ADVISORY COMMITTEE No. 46-08 FIXED-INCOME ADVISORY COMMITTEE No. 27-08 INTERNATIONAL COMMITTEE No. 24-08...

[22895] September 22, 2008 TO: ETF ADVISORY COMMITTEE No. 25-08 EQUITY MARKETS ADVISORY COMMITTEE No. 45-08 FIXED-INCOME ADVISORY COMMITTEE No. 26-08 INST. MONEY MARKET FUNDS ADVISORY COMMITTEE No. 22-08 MONEY MARKET FUNDS ADVISORY COMMITTEE No. 26-08 MUNICIPAL SECURITIES ADVISORY...

[22848] September 4, 2008 TO: CHIEF COMPLIANCE OFFICER COMMITTEE No. 11-08 RE: CONFERENCE CALL SCHEDULED THURSDAY, SEPTEMBER 18 AT 3:30 PM TO ELICIT FEEDBACK ON A NEW AUDITOR COMPLIANCE ATTESTATION Representatives from the Institute’s Operations Committee, together with the “big four”...

    [22808]   August 18, 2008 TO: SEC RULES COMMITTEE No. 60-08 INTERNATIONAL COMMITTEE No. 21-08 CHIEF COMPLIANCE OFFICER COMMITTEE No. 10-08 COMPLIANCE ADVISORY COMMITTEE No. 13-08 INST. MONEY MARKET FUNDS ADVISORY COMMITTEE No. 17-08     RE: REMINDER - CONFERENCE CALL FOR IOSCO...

    [22792]   August 12, 2008 TO: CHIEF COMPLIANCE OFFICER COMMITTEE No. 9-08 CLOSED-END INVESTMENT COMPANY COMMITTEE No. 26-08 COMPLIANCE ADVISORY COMMITTEE No. 12-08 EQUITY MARKETS ADVISORY COMMITTEE No. 36-08 FIXED-INCOME ADVISORY COMMITTEE No. 22-08 INTERNATIONAL COMMITTEE No. 20...