CCO (Chief Compliance Officer) Content

    [21055]   April 16, 2007 TO: PENSION MEMBERS No. 22-07 INVESTMENT ADVISER MEMBERS No. 12-07 SEC RULES MEMBERS No. 46-07 EQUITY MARKETS ADVISORY COMMITTEE No. 21-07 CHIEF COMPLIANCE OFFICER COMMITTEE No. 11-07     RE: INSTITUTE COMMENT LETTER CONCERNING DOL INTERIM FINAL REGULATION...

  URGENT/ACTION REQUESTED [21028]   April 3, 2007 TO: PENSION COMMITTEE No. 10-07 PENSION OPERATIONS ADVISORY COMMITTEE No. 10-07 INVESTMENT ADVISERS COMMITTEE No. 9-07 EQUITY MARKETS ADVISORY COMMITTEE No. 18-07 SEC RULES COMMITTEE No. 35-07 CHIEF COMPLIANCE OFFICER COMMITTEE No. 10...

    [21011]   April 2, 2007 TO: BOARD OF GOVERNORS No. 11-07 CEOS CHIEF COMPLIANCE OFFICER COMMITTEE No. 9-07 CLOSED-END INVESTMENT COMPANY MEMBERS No. 22-07 PRIMARY CONTACTS - MEMBER COMPLEX No. 8-07 SEC RULES MEMBERS No. 41-07 SMALL FUNDS MEMBERS No. 27-07 UNIT INVESTMENT TRUST...

    [20989]   March 23, 2007 TO: COMPLIANCE ADVISORY COMMITTEE No. 7-07 SMALL FUNDS COMMITTEE No. 13-07 SEC RULES COMMITTEE No. 31-07 CHIEF COMPLIANCE OFFICER COMMITTEE No. 8-07 CLOSED-END INVESTMENT COMPANY COMMITTEE No. 12-07 INVESTMENT ADVISERS COMMITTEE No. 7-07 UNIT INVESTMENT...

    [20983]   March 23, 2007 TO: CHIEF COMPLIANCE OFFICER COMMITTEE No. 7-07 COMPLIANCE ADVISORY COMMITTEE No. 6-07 INTERNATIONAL COMMITTEE No. 6-07 INTERNATIONAL INVESTING SUBCOMMITTEE No. 3-07 SEC RULES COMMITTEE No. 30-07 SMALL FUNDS COMMITTEE No. 12-07     RE: INFORMATION REQUIRED...

    [20961]   March 15, 2007 TO: SEC RULES COMMITTEE No. 27-07 CHIEF COMPLIANCE OFFICER COMMITTEE No. 6-07 COMPLIANCE ADVISORY COMMITTEE No. 5-07 BROKER/DEALER ADVISORY COMMITTEE No. 16-07     RE: DRAFT ICI COMMENT LETTER ON PROPOSED HARMONIZATION OF NASD AND NYSE DEFINITIONS OF...

    [20951]   March 14, 2007 TO: SEC RULES COMMITTEE No. 25-07 TECHNOLOGY ADVISORY COMMITTEE No. 8-07 COMPLIANCE ADVISORY COMMITTEE No. 4-07 CHIEF COMPLIANCE OFFICER COMMITTEE No. 5-07     RE: SEC EXAMINERS' REQUESTS FOR TELEPHONE RECORDS   Under Section 204 of the Investment Advisers...

    [20898]   February 23, 2007 TO: SEC RULES COMMITTEE No. 18-07 CHIEF COMPLIANCE OFFICER COMMITTEE No. 4-07 COMPLIANCE ADVISORY COMMITTEE No. 2-07 BROKER/DEALER ADVISORY COMMITTEE No. 14-07     RE: NASD REQUESTS COMMENT ON PROPOSED HARMONIZATION OF NASD AND NYSE DEFINITION OF...

    [20870] February 15, 2007 TO: CHIEF COMPLIANCE OFFICER COMMITTEE No. 3-07 COMPLIANCE ADVISORY COMMITTEE No. 1-07     RE: SPECIAL JOINT MEETING TO BE HELD DURING THE INSTITUTE’S 2007 MUTUAL FUND COMPLIANCE PROGRAMS CONFERENCE   In conjunction with the Institute’s Mutual Fund...

[20841]   February 5, 2007 TO: ACCOUNTING/TREASURERS MEMBERS No. 3-07 CHIEF COMPLIANCE OFFICER COMMITTEE No. 2-07 CLOSED-END INVESTMENT COMPANY MEMBERS No. 10-07 OPERATIONS MEMBERS No. 5-07 SEC RULES MEMBERS No. 13-07 SMALL FUNDS MEMBERS No. 12-07     RE: 2007 ICI/IDC DIRECTORS...