CCO (Chief Compliance Officer) Content

  [21722]   October 3, 2007 TO: BANK, TRUST AND RECORDKEEPER ADVISORY COMMITTEE No. 37-07 BROKER/DEALER ADVISORY COMMITTEE No. 61-07 CHIEF COMPLIANCE OFFICER COMMITTEE No. 21-07 COMPLIANCE ADVISORY COMMITTEE No. 20-07 OPERATIONS COMMITTEE No. 25-07 PENSION OPERATIONS ADVISORY...

  [21628]   September 21, 2007 TO: CHIEF COMPLIANCE OFFICER COMMITTEE No. 20-07 RE: FALL 2007 CCO COMMITTEE MEETINGS NOTICE; RSVP BY OCT. 5TH   The Institute has begun planning the regional meetings of the CCO Committee that will be held this fall.  Members are welcome to attend any...

  [21617]   September 20, 2007 TO: ETF ADVISORY COMMITTEE No. 30-07 EQUITY MARKETS ADVISORY COMMITTEE No. 54-07 FIXED-INCOME ADVISORY COMMITTEE No. 26-07 INST. MONEY MARKET FUNDS ADVISORY COMMITTEE No. 27-07 MONEY MARKET FUNDS ADVISORY COMMITTEE No. 24-07 MUNICIPAL SECURITIES ADVISORY...

[21465]   August 10, 2007 TO: BOARD OF GOVERNORS No. 20-07 CHIEF COMPLIANCE OFFICER COMMITTEE No. 18-07 CLOSED-END INVESTMENT COMPANY COMMITTEE No. 29-07 COMPLIANCE ADVISORY COMMITTEE No. 17-07 EQUITY MARKETS ADVISORY COMMITTEE No. 47-07 FIXED-INCOME ADVISORY COMMITTEE No. 21-07 INST...

    [21413]   August 1, 2007 TO: PRIMARY CONTACTS - MEMBER COMPLEX No. 14-07 ETF ADVISORY COMMITTEE No. 27-07 EQUITY MARKETS ADVISORY COMMITTEE No. 43-07 FIXED-INCOME ADVISORY COMMITTEE No. 19-07 CHIEF COMPLIANCE OFFICER COMMITTEE No. 17-07 529 PLAN ADVISORY COMMITTEE No. 8-07...

    [21312]   June 28, 2007 TO: SEC RULES COMMITTEE No. 54-07 TECHNOLOGY ADVISORY COMMITTEE No. 18-07 COMPLIANCE ADVISORY COMMITTEE No. 12-07 CHIEF COMPLIANCE OFFICER COMMITTEE No. 16-07 BROKER/DEALER ADVISORY COMMITTEE No. 28-07 SMALL FUNDS COMMITTEE No. 24-07 RE: INSTITUTE DRAFT...

    [21301]   June 25, 2007 TO: SEC RULES COMMITTEE No. 53-07 INTERNAL AUDIT ADVISORY COMMITTEE No. 3-07 CHIEF COMPLIANCE OFFICER COMMITTEE No. 15-07 RE: COMMENTS REQUESTED ON ICI COMMITTEE’S DRAFT WHITE PAPER ON CHIEF RISK OFFICERS WITHIN THE MUTUAL FUND INDUSTRY   Last year, the...

    [21289]   June 19, 2007 TO: SEC RULES COMMITTEE No. 52-07 TECHNOLOGY ADVISORY COMMITTEE No. 17-07 COMPLIANCE ADVISORY COMMITTEE No. 11-07 CHIEF COMPLIANCE OFFICER COMMITTEE No. 14-07 BROKER/DEALER ADVISORY COMMITTEE No. 26-07 SMALL FUNDS COMMITTEE No. 23-07 RE: NASD AND NYSE SEEK...

    [21163]   May 18, 2007 TO: BOARD OF GOVERNORS No. 13-07 CEOS CHIEF COMPLIANCE OFFICER COMMITTEE No. 13-07 CLOSED-END INVESTMENT COMPANY MEMBERS No. 27-07 PRIMARY CONTACTS - MEMBER COMPLEX No. 11-07 SEC RULES MEMBERS No. 50-07 SMALL FUNDS MEMBERS No. 30-07 UNIT INVESTMENT TRUST...

    [21121]   May 8, 2007 TO: SEC RULES COMMITTEE No. 40-07 SMALL FUNDS COMMITTEE No. 15-07 COMPLIANCE ADVISORY COMMITTEE No. 9-07 CHIEF COMPLIANCE OFFICER COMMITTEE No. 12-07 CLOSED-END INVESTMENT COMPANY COMMITTEE No. 16-07 INVESTMENT ADVISERS COMMITTEE No. 11-07 UNIT INVESTMENT...