CCO (Chief Compliance Officer) Content

[18082] October 19, 2004 TO: BOARD OF GOVERNORS No. 66-04 CHIEF COMPLIANCE OFFICER COMMITTEE No. 15-04 COMPLIANCE ADVISORY COMMITTEE No. 99-04 PRIMARY CONTACTS - MEMBER COMPLEX No. 94-04 SEC RULES MEMBERS No. 151-04 SMALL FUNDS MEMBERS No. 112-04 RE: MUTUAL FUND INVESTMENT ADVISERS...

[18073] October 12, 2004 TO: CHIEF COMPLIANCE OFFICER COMMITTEE No. 14-04 CLOSED-END INVESTMENT COMPANY COMMITTEE No. 39-04 COMPLIANCE ADVISORY COMMITTEE No. 98-04 PRIMARY CONTACTS - MEMBER COMPLEX No. 93-04 SEC RULES COMMITTEE No. 80-04 SMALL FUNDS COMMITTEE No. 47-04 RE: NEW...

[18089] October 11, 2004 TO: BROKER/DEALER ADVISORY COMMITTEE No. 28-04 BROKER/DEALER ASSOCIATE MEMBERS No. 5-04 CHIEF COMPLIANCE OFFICER COMMITTEE No. 13-04 COMPLIANCE ADVISORY COMMITTEE No. 97-04 SEC RULES MEMBERS No. 150-04 SMALL FUNDS MEMBERS No. 111-04 RE: NASD SANCTIONS MUTUAL...

[18083] October 8, 2004 TO: CHIEF COMPLIANCE OFFICER COMMITTEE No. 12-04 COMPLIANCE ADVISORY COMMITTEE No. 96-04 RE: NOTICE OF CCO COMMITTEE AND COMPLIANCE ADVISORY COMMITTEE MEETINGS - RESPONSE REQUESTED BY MONDAY, OCTOBER 18TH We are pleased to announce the inaugural meeting of the...

[18063] October 4, 2004 TO: BOARD OF GOVERNORS No. 63-04 CHIEF COMPLIANCE OFFICER COMMITTEE No. 11-04 COMPLIANCE ADVISORY COMMITTEE No. 95-04 PRIMARY CONTACTS - MEMBER COMPLEX No. 91-04 SEC RULES MEMBERS No. 146-04 SMALL FUNDS MEMBERS No. 109-04 RE: TWO FUND ADVISERS AND AFFILIATED...

[18042] October 1, 2004 TO: BOARD OF GOVERNORS No. 62-04 CHIEF COMPLIANCE OFFICER COMMITTEE No. 10-04 COMPLIANCE ADVISORY COMMITTEE No. 94-04 PRIMARY CONTACTS - MEMBER COMPLEX No. 89-04 SEC RULES MEMBERS No. 145-04 SMALL FUNDS MEMBERS No. 108-04 RE: MUTUAL FUND INVESTMENT ADVISER...

[18040] September 28, 2004 TO: BOARD OF GOVERNORS No. 60-04 CHIEF COMPLIANCE OFFICER COMMITTEE No. 9-04 COMPLIANCE ADVISORY COMMITTEE No. 93-04 INVESTMENT ADVISER MEMBERS No. 20-04 INVESTMENT ADVISER ASSOCIATE MEMBERS No. 10-04 PRIMARY CONTACTS - MEMBER COMPLEX No. 86-04 SEC RULES...

[17993] September 20, 2004 TO: BOARD OF GOVERNORS No. 57-04 CHIEF COMPLIANCE OFFICER COMMITTEE No. 6-04 COMPLIANCE ADVISORY COMMITTEE No. 89-04 PRIMARY CONTACTS - MEMBER COMPLEX No. 82-04 SEC RULES MEMBERS No. 135-04 SMALL FUNDS MEMBERS No. 101-04 RE: SEC SETTLES WITH FORMER EMPLOYEES...

[18009] September 20, 2004 TO: BOARD OF GOVERNORS No. 59-04 CHIEF COMPLIANCE OFFICER COMMITTEE No. 8-04 COMPLIANCE ADVISORY COMMITTEE No. 91-04 PRIMARY CONTACTS - MEMBER COMPLEX No. 84-04 SEC RULES MEMBERS No. 137-04 SMALL FUNDS MEMBERS No. 103-04 RE: TWO MUTUAL FUND INVESTMENT...

[18011] September 20, 2004 TO: BOARD OF GOVERNORS No. 58-04 BROKER/DEALER ADVISORY COMMITTEE No. 26-04 CHIEF COMPLIANCE OFFICER COMMITTEE No. 7-04 COMPLIANCE ADVISORY COMMITTEE No. 90-04 PRIMARY CONTACTS - MEMBER COMPLEX No. 83-04 SEC RULES MEMBERS No. 136-04 SMALL FUNDS MEMBERS No...