CCO (Chief Compliance Officer) Content

    [22764]   August 4, 2008 TO: SEC RULES COMMITTEE No. 56-08 INTERNATIONAL COMMITTEE No. 19-08 CHIEF COMPLIANCE OFFICER COMMITTEE No. 8-08 COMPLIANCE ADVISORY COMMITTEE No. 10-08 INST. MONEY MARKET FUNDS ADVISORY COMMITTEE No. 16-08     RE: CONFERENCE CALL FOR IOSCO QUESTIONNAIRE ON...

[22736] July 25, 2008 TO: CHIEF COMPLIANCE OFFICER COMMITTEE No. 7-08 RE: CCO COMMITTEE MEETING NOVEMBER 14TH FOLLOWING SEC’S NATIONAL CCOutreach PROGRAM; NEXT COMPLIANCE CONFERENCE JUNE 4-5, 2009 The Securities and Exchange Commission has announced that it intends to hold its next...

[22726] July 22, 2008 TO: CHIEF COMPLIANCE OFFICER COMMITTEE No. 6-08 COMPLIANCE ADVISORY COMMITTEE No. 9-08 INTERNATIONAL COMMITTEE No. 18-08 SEC RULES COMMITTEE No. 54-08 RE: IOSCO SEEKS INPUT ON THE INVESTMENT PROCESS OF MUTUAL FUNDS On July 21, 2008, staff of the U.S. Securities...

    [22350]   March 17, 2008 TO: CHIEF COMPLIANCE OFFICER COMMITTEE No. 5-08 CLOSED-END INVESTMENT COMPANY COMMITTEE No. 8-08 PENSION COMMITTEE No. 11-08 SEC RULES COMMITTEE No. 23-08 SMALL FUNDS COMMITTEE No. 10-08     RE: SECURITIES REGULATORS ANNOUNCE NEW INITIATIVE TO PROTECT...

    [22318]   March 10, 2008 TO: ACCOUNTING/TREASURERS COMMITTEE No. 5-08 CHIEF COMPLIANCE OFFICER COMMITTEE No. 4-08 COMPLIANCE ADVISORY COMMITTEE No. 5-08 SEC RULES COMMITTEE No. 19-08 SMALL FUNDS COMMITTEE No. 8-08 UNIT INVESTMENT TRUST COMMITTEE No. 5-08     RE: INSTITUTE COMMENT...

    [22286]   February 29, 2008 TO: ACCOUNTING/TREASURERS COMMITTEE No. 4-08 CHIEF COMPLIANCE OFFICER COMMITTEE No. 3-08 COMPLIANCE ADVISORY COMMITTEE No. 3-08 SEC RULES COMMITTEE No. 16-08 SMALL FUNDS COMMITTEE No. 6-08 UNIT INVESTMENT TRUST COMMITTEE No. 3-08     RE: INSTITUTE DRAFT...

    [22283] February 28, 2008 TO: CHIEF COMPLIANCE OFFICER COMMITTEE No. 2-08 COMPLIANCE ADVISORY COMMITTEE No. 2-08     RE: SPECIAL JOINT MEETING TO BE HELD DURING THE INSTITUTE’S 2008 MUTUAL FUND COMPLIANCE PROGRAMS CONFERENCE                 In conjunction with the Institute’s...

    [22235]   February 13, 2008 TO: CHIEF COMPLIANCE OFFICER COMMITTEE No. 1-08 COMPLIANCE ADVISORY COMMITTEE No. 1-08 SEC RULES COMMITTEE No. 13-08SMALL FUNDS COMMITTEE No. 5-08     RE: SEC PROPOSES RULE TO IMPLEMENT THE SUDAN ACCOUNTABILITY AND DIVESTMENT ACT OF 2007; CONFERENCE...

  [21879]   October 22, 2007 TO: CHIEF COMPLIANCE OFFICER COMMITTEE No. 23-07 RE: STATUS OF UPCOMING CCO COMMITTEE MEETINGS   On September 21st, we sent out notice of the dates and locations of the upcoming meetings of the Institute’s Chief Compliance Officer Committee in San Mateo...

    [21794]   October 9, 2007 TO: DIRECTORS ISSUES ETF ADVISORY COMMITTEE No. 32-07 EQUITY MARKETS ADVISORY COMMITTEE No. 59-07 FIXED-INCOME ADVISORY COMMITTEE No. 33-07 INST. MONEY MARKET FUNDS ADVISORY COMMITTEE No. 32-07 MONEY MARKET FUNDS ADVISORY COMMITTEE No. 29-07 MUNICIPAL...