CCO (Chief Compliance Officer) Content

©2005 Investment Company Institute. All rights reserved. Information may be abridged and therefore incomplete. Communications from the Institute do not constitute, and should not be considered a substitute for, legal advice. [18732] April 8, 2005 TO: BROKER/DEALER ADVISORY COMMITTEE...

©2005 Investment Company Institute. All rights reserved. Information may be abridged and therefore incomplete. Communications from the Institute do not constitute, and should not be considered a substitute for, legal advice. [18722] April 4, 2005 TO: BROKER/DEALER ADVISORY COMMITTEE...

©2005 Investment Company Institute. All rights reserved. Information may be abridged and therefore incomplete. Communications from the Institute do not constitute, and should not be considered a substitute for, legal advice. [18710] March 31, 2005 TO: CHIEF COMPLIANCE OFFICER...

[18705] March 28, 2005 TO: SEC RULES MEMBERS No. 43-05 EQUITY MARKETS ADVISORY COMMITTEE No. 18-05 CLOSED-END INVESTMENT COMPANY MEMBERS No. 18-05 BOARD OF GOVERNORS No. 14-05 COMPLIANCE ADVISORY COMMITTEE No. 25-05 CHIEF COMPLIANCE OFFICER COMMITTEE No. 29-05 INVESTMENT ADVISER...

[18699] March 28, 2005 TO: BOARD OF GOVERNORS No. 15-05 CHIEF COMPLIANCE OFFICER COMMITTEE No. 30-05 CLOSED-END INVESTMENT COMPANY COMMITTEE No. 14-05 COMPLIANCE ADVISORY COMMITTEE No. 26-05 INDEPENDENT DIRECTORS COUNCIL No. 2-05 PRIMARY CONTACTS - MEMBER COMPLEX No. 14-05 SEC RULES...

[18667] March 23, 2005 TO: BOARD OF GOVERNORS No. 13-05 CEOS CHIEF COMPLIANCE OFFICER COMMITTEE No. 28-05 CLOSED-END INVESTMENT COMPANY MEMBERS No. 17-05 INVESTMENT COMPANY DIRECTORS No. 7-05 PRIMARY CONTACTS - MEMBER COMPLEX No. 13-05 SEC RULES MEMBERS No. 42-05 SMALL FUNDS MEMBERS...

[18673] March 21, 2005 TO: CHIEF COMPLIANCE OFFICER COMMITTEE No. 27-05 RE: DRAFT AGENDA FOR MARCH 2005 CCO COMMITTEE MEETINGS As we previously informed you, the Institute will be conducting regional meetings of the CCO Committee.1 The first meetings of the Committee will take place...

[18671] March 21, 2005 TO: BOARD OF GOVERNORS No. 11-05 CEOS CHIEF COMPLIANCE OFFICER COMMITTEE No. 26-05 CLOSED-END INVESTMENT COMPANY MEMBERS No. 16-05 COMPLIANCE ADVISORY COMMITTEE No. 24-05 PRIMARY CONTACTS - MEMBER COMPLEX No. 12-05 SEC RULES MEMBERS No. 41-05 SMALL FUNDS MEMBERS...

[18655] March 17, 2005 TO: PENSION COMMITTEE No. 11-05 CHIEF COMPLIANCE OFFICER COMMITTEE No. 25-05 SEC RULES COMMITTEE No. 23-05 RE: NASD PROVIDES INTERPRETIVE GUIDANCE REQUESTED BY INSTITUTE ON APPLICATION OF NASD CONDUCT RULES TO DEFAULT IRA ACCOUNTS Last month, the Institute wrote...

[18641] March 11, 2005 TO: BROKER/DEALER ADVISORY COMMITTEE No. 7-05 BROKER/DEALER ASSOCIATE MEMBERS No. 3-05 CHIEF COMPLIANCE OFFICER COMMITTEE No. 24-05 COMPLIANCE ADVISORY COMMITTEE No. 22-05 SEC RULES MEMBERS No. 37-05 SMALL FUNDS MEMBERS No. 24-05 RE: NYSE AND NEW JERSEY SETTLE...