CCO (Chief Compliance Officer) Content

[18352] December 20, 2004 TO: ACCOUNTING/TREASURERS MEMBERS No. 42-04 CHIEF COMPLIANCE OFFICER COMMITTEE No. 35-04 CLOSED-END INVESTMENT COMPANY MEMBERS No. 81-04 OPERATIONS MEMBERS No. 38-04 PRIMARY CONTACTS - MEMBER COMPLEX No. 106-04 SEC RULES MEMBERS No. 178-04 SMALL FUNDS MEMBERS...

[18340] December 16, 2004 TO: BOARD OF GOVERNORS No. 87-04 CHIEF COMPLIANCE OFFICER COMMITTEE No. 34-04 COMPLIANCE ADVISORY COMMITTEE No. 120-04 SEC RULES MEMBERS No. 176-04 SMALL FUNDS MEMBERS No. 130-04 RE: MUTUAL FUND ADVISER AND AFFILIATED DISTRIBUTOR SETTLE SEC ENFORCEMENT ACTION...

[18322] December 10, 2004 TO: CHIEF COMPLIANCE OFFICER COMMITTEE No. 33-04 CLOSED-END INVESTMENT COMPANY COMMITTEE No. 46-04 COMPLIANCE ADVISORY COMMITTEE No. 118-04 EQUITY MARKETS ADVISORY COMMITTEE No. 51-04 INVESTMENT ADVISERS COMMITTEE No. 20-04 SEC RULES COMMITTEE No. 97-04 SMALL...

[18287] December 2, 2004 TO: BOARD OF GOVERNORS No. 82-04 CEOS BROKER/DEALER ADVISORY COMMITTEE No. 30-04 OPERATIONS COMMITTEE No. 22-04 SEC RULES COMMITTEE No. 95-04 SMALL FUNDS COMMITTEE No. 51-04 TRANSFER AGENT ADVISORY COMMITTEE No. 81-04 CHIEF COMPLIANCE OFFICER COMMITTEE No. 32...

[18258] November 30, 2004 TO: CHIEF COMPLIANCE OFFICER COMMITTEE No. 30-04 RE: SURVEY OF COMMITTEE MEMBERS REGARDING CCO COMMITTEE MEETINGS - RESPONSE REQUESTED BY DECEMBER 6TH At the November 16th CCO Committee meeting, we distributed a brief survey questionnaire seeking input from...

[18273] November 30, 2004 TO: CHIEF COMPLIANCE OFFICER COMMITTEE No. 31-04 COMPLIANCE ADVISORY COMMITTEE No. 116-04 SEC RULES MEMBERS No. 168-04 SMALL FUNDS MEMBERS No. 125-04 RE: INSTITUTE COMMENT LETTER ON NASD PROPOSAL TO BAN DIRECTED BROKERAGE The Securities and Exchange...

[18248] November 24, 2004 TO: BOARD OF GOVERNORS No. 80-04 CHIEF COMPLIANCE OFFICER COMMITTEE No. 29-04 CLOSED-END INVESTMENT COMPANY COMMITTEE No. 43-04 COMPLIANCE ADVISORY COMMITTEE No. 114-04 EQUITY MARKETS ADVISORY COMMITTEE No. 47-04 INDEPENDENT DIRECTORS COUNCIL No. 13-04...

[18210] November 19, 2004 TO: BOARD OF GOVERNORS No. 78-04 CHIEF COMPLIANCE OFFICER COMMITTEE No. 28-04 COMPLIANCE ADVISORY COMMITTEE No. 113-04 SEC RULES MEMBERS No. 166-04 SMALL FUNDS MEMBERS No. 123-04 RE: FORMER EXECUTIVES OF FUND GROUP SETTLE SEC CHARGES RELATING TO MARKET TIMING...

[18195] November 18, 2004 TO: SEC RULES MEMBERS No. 164-04 EQUITY MARKETS ADVISORY COMMITTEE No. 46-04 CLOSED-END INVESTMENT COMPANY MEMBERS No. 74-04 BOARD OF GOVERNORS No. 76-04 COMPLIANCE ADVISORY COMMITTEE No. 111-04 CHIEF COMPLIANCE OFFICER COMMITTEE No. 26-04 INVESTMENT ADVISER...

[18216] November 18, 2004 TO: BOARD OF GOVERNORS No. 77-04 CHIEF COMPLIANCE OFFICER COMMITTEE No. 27-04 COMPLIANCE ADVISORY COMMITTEE No. 112-04 SEC RULES MEMBERS No. 165-04 SMALL FUNDS MEMBERS No. 122-04 RE: FUND DISTRIBUTOR SETTLES CALIFORNIA ENFORCEMENT ACTION RELATING TO DIRECTED...