CCO (Chief Compliance Officer) Content

[18465] January 26, 2005 TO: CHIEF COMPLIANCE OFFICER COMMITTEE No. 6-05 COMPLIANCE ADVISORY COMMITTEE No. 6-05 SEC RULES MEMBERS No. 14-05 SMALL FUNDS MEMBERS No. 9-05 RE: BROKER-DEALER SETTLES NASD CHARGES OVER FAILURE TO MAINTAIN SUPERVISORY SYSTEMS TO PREVENT LATE TRADING OF FUND...

[18424] January 18, 2005 TO: BOARD OF GOVERNORS No. 5-05 CEOS CHIEF COMPLIANCE OFFICER COMMITTEE No. 4-05 CLOSED-END INVESTMENT COMPANY MEMBERS No. 4-05 INVESTMENT COMPANY DIRECTORS No. 1-05 PRIMARY CONTACTS - MEMBER COMPLEX No. 4-05 SEC RULES MEMBERS No. 11-05 SMALL FUNDS MEMBERS No...

[18424] January 18, 2005 TO: BOARD OF GOVERNORS No. 5-05 CEOS CHIEF COMPLIANCE OFFICER COMMITTEE No. 4-05 CLOSED-END INVESTMENT COMPANY MEMBERS No. 4-05 INVESTMENT COMPANY DIRECTORS No. 1-05 PRIMARY CONTACTS - MEMBER COMPLEX No. 4-05 SEC RULES MEMBERS No. 11-05 SMALL FUNDS MEMBERS No...

[18425] January 18, 2005 TO: SEC RULES COMMITTEE No. 4-05 COMPLIANCE ADVISORY COMMITTEE No. 5-05 CHIEF COMPLIANCE OFFICER COMMITTEE No. 5-05 CLOSED-END INVESTMENT COMPANY COMMITTEE No. 2-05 SMALL FUNDS MEMBERS No. 7-05 TECHNOLOGY ADVISORY COMMITTEE No. 2-05 INVESTMENT ADVISERS...

[18423] January 18, 2005 TO: CHIEF COMPLIANCE OFFICER COMMITTEE No. 3-05 COMPLIANCE ADVISORY COMMITTEE No. 4-05 SEC RULES MEMBERS No. 10-05 SMALL FUNDS MEMBERS No. 5-05 RE: BROKER-DEALER SETTLES NASD CHARGES RELATING TO MARKET TIMING OF MUTUAL FUNDS The NASD has announced the...

[18411] January 13, 2005 TO: BOARD OF GOVERNORS No. 3-05 CHIEF COMPLIANCE OFFICER COMMITTEE No. 2-05 COMPLIANCE ADVISORY COMMITTEE No. 3-05 PRIMARY CONTACTS - MEMBER COMPLEX No. 2-05 SEC RULES MEMBERS No. 7-05 SMALL FUNDS MEMBERS No. 3-05 RE: BROKER-DEALER SETTLES SEC, NASD AND NYSE...

[18384] January 6, 2005 TO: BOARD OF GOVERNORS No. 2-05 CEOS CHIEF COMPLIANCE OFFICER COMMITTEE No. 1-05 CLOSED-END INVESTMENT COMPANY MEMBERS No. 1-05 COMPLIANCE ADVISORY COMMITTEE No. 1-05 PRIMARY CONTACTS - MEMBER COMPLEX No. 1-05 SEC RULES MEMBERS No. 2-05 SMALL FUNDS MEMBERS No...

[18378] December 31, 2004 TO: BOARD OF GOVERNORS No. 91-04 CEOS CHIEF COMPLIANCE OFFICER COMMITTEE No. 37-04 CLOSED-END INVESTMENT COMPANY MEMBERS No. 82-04 PRIMARY CONTACTS - MEMBER COMPLEX No. 108-04 SEC RULES MEMBERS No. 180-04 SMALL FUNDS MEMBERS No. 133-04 UNIT INVESTMENT TRUST...

[18348] December 22, 2004 TO: BOARD OF GOVERNORS No. 90-04 CHIEF COMPLIANCE OFFICER COMMITTEE No. 36-04 COMPLIANCE ADVISORY COMMITTEE No. 121-04 SEC RULES MEMBERS No. 179-04 SMALL FUNDS MEMBERS No. 132-04 RE: BROKER-DEALER SETTLES WITH SEC AND NASD REGARDING SALES OF SYSTEMATIC...