Compliance Advisory Content

[13737] July 17, 2001 TO: BANK INVESTMENT MANAGEMENT MEMBERS No. 6-01 COMPLIANCE ADVISORY COMMITTEE No. 31-01 SEC RULES COMMITTEE No. 58-01 SMALL FUNDS COMMITTEE No. 10-01 RE: FINANCIAL INSTITUTION REGULATORS REJECT PROPOSAL RELATING TO THE DISCLOSURE OF CUSTOMER ACCOUNT NUMBERS TO...

[13719] July 11, 2001 TO: COMPLIANCE ADVISORY COMMITTEE No. 30-01 SEC RULES MEMBERS No. 53-01 RE: SEC APPROVES NASDR RULE CHANGE REQUIRING PRINCIPAL REGISTRATION OF CHIEF COMPLIANCE OFFICERS As you may recall, in 1999 NASD Regulation, Inc. (NASDR) solicited comment on whether to...

[13706] July 9, 2001 TO: COMPLIANCE ADVISORY COMMITTEE No. 29-01 SEC RULES COMMITTEE No. 53-01 INVESTMENT IN BANK SECURITIES WORKING GROUP RE: INSTITUTE MEETING WITH FEDERAL RESERVE BOARD REGARDING FUNDS’ INVESTMENTS IN BANKING ORGANIZATIONS The Institute recently sent a letter to the...

[13434] June 29, 2001 TO: CLOSED-END INVESTMENT COMPANY COMMITTEE No. 10-01 COMPLIANCE ADVISORY COMMITTEE No. 28-01 INVESTMENT ADVISERS COMMITTEE No. 16-01 SEC RULES COMMITTEE No. 50-01 UNIT INVESTMENT TRUST COMMITTEE No. 18-01 RE: FTC AMENDS PREMERGER NOTIFICATION RULES - RELATED...

[13685] June 28, 2001 TO: ACCOUNTING/TREASURERS MEMBERS No. 15-01 BANK INVESTMENT MANAGEMENT MEMBERS No. 3-01 CLOSED-END INVESTMENT COMPANY MEMBERS No. 22-01 COMPLIANCE ADVISORY COMMITTEE No. 27-01 INVESTMENT ADVISER ASSOCIATE MEMBERS No. 9-01 INVESTMENT ADVISER MEMBERS No. 14-01...

[13668] June 22, 2001 TO: COMPLIANCE ADVISORY COMMITTEE No. 26-01 SEC RULES MEMBERS No. 51-01 RE: LORI RICHARDS’ SPEECH ON VALUATION, TRADING AND DISCLOSURE AT ICI 2001 MUTUAL FUND COMPLIANCE CONFERENCE Lori Richards, Director of the SEC’s Office of Compliance Inspections and...

[13625] June 12, 2001 TO: ACCOUNTING/TREASURERS MEMBERS No. 14-01 CLOSED-END INVESTMENT COMPANY MEMBERS No. 20-01 COMPLIANCE ADVISORY COMMITTEE No. 25-01 EQUITY MARKETS ADVISORY COMMITTEE No. 18-01 INTERNATIONAL MEMBERS No. 9-01 INVESTMENT ADVISER MEMBERS No. 13-01 OPERATIONS MEMBERS...

[13604] June 7, 2001 TO: COMPLIANCE ADVISORY COMMITTEE No. 24-01 INVESTMENT ADVISERS COMMITTEE No. 15-01 SEC RULES COMMITTEE No. 43-01 RE: REGULATION FD AND THE USE OF CONFIDENTIALITY AGREEMENTS Members have informed us that following the adoption of Regulation Fair Disclosure last...

[13575] June 4, 2001 TO: COMPLIANCE ADVISORY COMMITTEE No. 23-01 INTERNATIONAL COMMITTEE No. 38-01 OPERATIONS COMMITTEE No. 19-01 TRANSFER AGENT ADVISORY COMMITTEE No. 41-01 RE: TREASURY DEPARTMENT ADDS INDIVIDUALS AND BUSINESSES TO ITS LIST OF "SPECIALLY DESIGNATED NARCOTICS...

[13505] May 16, 2001 TO: ACCOUNTING/TREASURERS MEMBERS No. 11-01 CLOSED-END INVESTMENT COMPANY MEMBERS No. 17-01 COMPLIANCE ADVISORY COMMITTEE No. 22-01 INTERNATIONAL COMMITTEE No. 36-01 OPERATIONS MEMBERS No. 11-01 PRIMARY CONTACTS - MEMBER COMPLEX No. 34-01 SEC RULES MEMBERS No. 43...