CCO (Chief Compliance Officer) Content

[17957] September 8, 2004 TO: CHIEF COMPLIANCE OFFICER COMMITTEE No. 5-04 COMPLIANCE ADVISORY COMMITTEE No. 87-04 SEC RULES MEMBERS No. 127-04 SMALL FUNDS MEMBERS No. 98-04 RE: SEC PROHIBITS USE OF BROKERAGE COMMISSIONS TO FINANCE DISTRIBUTION The Securities and Exchange Commission...

[17948] September 3, 2004 TO: CHIEF COMPLIANCE OFFICER COMMITTEE No. 4-04 COMPLIANCE ADVISORY COMMITTEE No. 86-04 SEC RULES MEMBERS No. 124-04 SMALL FUNDS MEMBERS No. 96-04 RE: INVESTMENT ADVISER AND ITS PRESIDENT SETTLE SEC FRAUD CHARGES RELATING TO MISSTATED VALUATIONS OF FUND...

[17931] August 31, 2004 TO: BOARD OF GOVERNORS No. 56-04 CHIEF COMPLIANCE OFFICER COMMITTEE No. 3-04 COMPLIANCE ADVISORY COMMITTEE No. 85-04 PRIMARY CONTACTS - MEMBER COMPLEX No. 80-04 SEC RULES MEMBERS No. 122-04 SMALL FUNDS MEMBERS No. 94-04 RE: MUTUAL FUND INVESTMENT ADVISER...

[17925] August 27, 2004 TO: CHIEF COMPLIANCE OFFICER COMMITTEE COMPLIANCE ADVISORY COMMITTEE No. 83-04 SEC RULES MEMBERS No. 120-04 SMALL FUNDS MEMBERS No. 92-04 RE: SEC FILES FRAUD CHARGES AGAINST BROKER-DEALER AND RELATED PARTIES FOR FACILITATING LATE TRADING AND MARKET TIMING IN...

[17897] August 13, 2004 TO: CLOSED-END INVESTMENT COMPANY MEMBERS No. 56-04 COMPLIANCE ADVISORY COMMITTEE No. 80-04 SEC RULES MEMBERS No. 114-04 SMALL FUNDS MEMBERS No. 87-04 UNIT INVESTMENT TRUST MEMBERS No. 35-04 OPERATIONS MEMBERS No. 30-04 TRANSFER AGENT ADVISORY COMMITTEE No. 69...

[10441] October 30, 1998 TO: ACCOUNTING/TREASURERS MEMBERS No. 34-98 SEC RULES MEMBERS No. 90-98 TAX COMMITTEE No. 34-98 SECURITIES OPERATIONS SUBCOMMITTEE-CUSTODIANS ADVISORY GROUP RE: SECURITIES LENDING WHITEPAPER _____________________________________________________________________...