CCO (Chief Compliance Officer) Content

[18204] November 17, 2004 TO: CHIEF COMPLIANCE OFFICER COMMITTEE No. 25-04 COMPLIANCE ADVISORY COMMITTEE No. 110-04 SEC RULES COMMITTEE No. 90-04 SMALL FUNDS COMMITTEE No. 49-04 RE: DRAFT ICI COMMENT LETTER ON NASD PROPOSAL TO BAN DIRECTED BROKERAGE -- COMMENTS ON DRAFT REQUESTED BY...

[18175] November 12, 2004 TO: BOARD OF GOVERNORS No. 74-04 CHIEF COMPLIANCE OFFICER COMMITTEE No. 23-04 COMPLIANCE ADVISORY COMMITTEE No. 108-04 SEC RULES MEMBERS No. 161-04 SMALL FUNDS MEMBERS No. 120-04 RE: SEC CHARGES FORMER EXECUTIVE OF FUND GROUP WITH FACILITATING MARKET TIMING...

[18167] November 12, 2004 TO: BOARD OF GOVERNORS No. 73-04 CHIEF COMPLIANCE OFFICER COMMITTEE No. 22-04 COMPLIANCE ADVISORY COMMITTEE No. 107-04 SEC RULES MEMBERS No. 160-04 SMALL FUNDS MEMBERS No. 119-04 RE: MUTUAL FUND INVESTMENT ADVISER SETTLES SEC AND NEW YORK ENFORCEMENT ACTIONS...

[18172] November 12, 2004 TO: BOARD OF GOVERNORS No. 75-04 CHIEF COMPLIANCE OFFICER COMMITTEE No. 24-04 COMPLIANCE ADVISORY COMMITTEE No. 109-04 SEC RULES MEMBERS No. 162-04 SMALL FUNDS MEMBERS No. 121-04 RE: SEC SETTLES WITH FORMER EXECUTIVE OF FUND GROUP CHARGED WITH FACILITATING...

[18185] November 11, 2004 TO: CHIEF COMPLIANCE OFFICER COMMITTEE No. 21-04 COMPLIANCE ADVISORY COMMITTEE No. 106-04 SEC RULES COMMITTEE No. 88-04 SMALL FUNDS COMMITTEE No. 48-04 RE: NASD ADOPTS CCO DESIGNATION REQUIREMENT WITH A COMPLIANCE DATE OF DECEMBER 1, 2004; ANNUAL CEO...

[18182] November 10, 2004 TO: CHIEF COMPLIANCE OFFICER COMMITTEE No. 19-04 COMPLIANCE ADVISORY COMMITTEE No. 104-04 RE: COMPLIANCE COMMITTEE MEETINGS - DRAFT AGENDAS As we previously informed you,1 the inaugural meeting of the CCO Committee and the next meeting of the Compliance...

[18184] November 10, 2004 TO: CHIEF COMPLIANCE OFFICER COMMITTEE No. 20-04 CLOSED-END INVESTMENT COMPANY MEMBERS No. 72-04 COMPLIANCE ADVISORY COMMITTEE No. 105-04 SEC RULES MEMBERS No. 159-04 RE: SEC NO-ACTION RELIEF GRANTED REGARDING APPLICATION OF RULE 38a-1 TO CLOSED-END FUND...

[18120] November 5, 2004 TO: BOARD OF GOVERNORS No. 70-04 CHIEF COMPLIANCE OFFICER COMMITTEE No. 18-04 CLOSED-END INVESTMENT COMPANY MEMBERS No. 71-04 COMPLIANCE ADVISORY COMMITTEE No. 103-04 INVESTMENT ADVISER ASSOCIATE MEMBERS No. 11-04 INVESTMENT ADVISER MEMBERS No. 23-04 PRIMARY...

[18111] October 25, 2004 TO: BOARD OF GOVERNORS No. 68-04 CHIEF COMPLIANCE OFFICER COMMITTEE No. 17-04 COMPLIANCE ADVISORY COMMITTEE No. 102-04 PRIMARY CONTACTS - MEMBER COMPLEX No. 97-04 SEC RULES MEMBERS No. 155-04 SMALL FUNDS MEMBERS No. 116-04 RE: SEC SETTLES WITH FORMER EXECUTIVE...

[18095] October 25, 2004 TO: BOARD OF GOVERNORS No. 67-04 CHIEF COMPLIANCE OFFICER COMMITTEE No. 16-04 COMPLIANCE ADVISORY COMMITTEE No. 101-04 PRIMARY CONTACTS - MEMBER COMPLEX No. 96-04 SEC RULES MEMBERS No. 154-04 SMALL FUNDS MEMBERS No. 115-04 RE: MUTUAL FUND INVESTMENT ADVISERS...