Compliance Advisory Content

[13511] May 15, 2001 TO: BROKER/DEALER ADVISORY COMMITTEE No. 12-01 CLOSED-END INVESTMENT COMPANY MEMBERS No. 16-01 COMPLIANCE ADVISORY COMMITTEE No. 21-01 INVESTMENT ADVISER ASSOCIATE MEMBERS No. 6-01 INVESTMENT ADVISER MEMBERS No. 9-01 OPERATIONS COMMITTEE No. 18-01 SEC RULES...

[13507] May 14, 2001 TO: COMPLIANCE ADVISORY COMMITTEE No. 20-01 INTERNATIONAL COMMITTEE No. 35-01 SEC RULES MEMBERS No. 40-01 TRANSFER AGENT ADVISORY COMMITTEE No. 34-01 RE: SEC STAFF REMARKS ON ANTI-MONEY LAUNDERING COMPLIANCE Lori Richards, Director of the SEC’s Office of...

[13433] April 23, 2001 TO: BROKER/DEALER ASSOCIATE MEMBERS No. 4-01 COMPLIANCE ADVISORY COMMITTEE No. 19-01 CONTINUING EDUCATION AND TRAINING MEMBERS No. 4-01 HUMAN RESOURCES MEMBERS No. 3-01 INVESTMENT ADVISER ASSOCIATE MEMBERS No. 4-01 PRIMARY CONTACTS - MEMBER COMPLEX No. 29-01 SEC...

[13424] April 17, 2001 TO: BROKER/DEALER ASSOCIATE MEMBERS No. 3-01 COMPLIANCE ADVISORY COMMITTEE No. 18-01 CONTINUING EDUCATION AND TRAINING ADVISORY COMMITTEE No. 2-01 DIRECT MARKETING COMMITTEE No. 5-01 HUMAN RESOURCES MEMBERS No. 2-01 INTERNATIONAL COMMITTEE No. 31-01 INVESTMENT...

[13331] April 11, 2001 TO: COMPLIANCE ADVISORY COMMITTEE No. 17-01 SEC RULES MEMBERS No. 32-01 RE: DISTRICT COURT ENTERS INJUNCTION AGAINST FUND GROUP AND FREEZES ASSETS IN THREE FUNDS The United States District Court for the Northern District of Illinois has ordered a permanent...

[13400] April 10, 2001 TO: BROKER/DEALER ADVISORY COMMITTEE No. 10-01 CLOSED-END INVESTMENT COMPANY MEMBERS No. 11-01 COMPLIANCE ADVISORY COMMITTEE No. 16-01 INVESTMENT ADVISER ASSOCIATE MEMBERS No. 2-01 INVESTMENT ADVISER MEMBERS No. 7-01 OPERATIONS COMMITTEE No. 13-01 PRIVACY...

[13320] April 2, 2001 TO: ACCOUNTING/TREASURERS MEMBERS No. 8-01 CLOSED-END INVESTMENT COMPANY MEMBERS No. 9-01 COMPLIANCE ADVISORY COMMITTEE No. 15-01 INTERNATIONAL COMMITTEE No. 23-01 OPERATIONS MEMBERS No. 7-01 PRIMARY CONTACTS - MEMBER COMPLEX No. 24-01 SEC RULES MEMBERS No. 26-01...

[13255] March 15, 2001 TO: COMPLIANCE ADVISORY COMMITTEE No. 14-01 SEC RULES MEMBERS No. 24-01 UNIT INVESTMENT TRUST MEMBERS No. 11-01 RE: SEC ADOPTS TECHNICAL AMENDMENTS TO INSTRUCTIONS TO FORM 24F-2 The Securities and Exchange Commission has adopted technical amendments to the...

[13239] March 12, 2001 TO: COMPLIANCE ADVISORY COMMITTEE No. 13-01 SEC RULES MEMBERS No. 22-01 RE: NASDR REITERATES PROHIBITION AGAINST PAYING CERTAIN NON-CASH COMPENSATION IN CONNECTION WITH TRAINING OR EDUCATION MEETINGS As we previously informed you, last summer NASD Regulation...

[13225] March 8, 2001 TO: CLOSED-END INVESTMENT COMPANY MEMBERS No. 8-01 COMPLIANCE ADVISORY COMMITTEE No. 12-01 INVESTMENT ADVISER MEMBERS No. 4-01 PRIMARY CONTACTS - MEMBER COMPLEX No. 19-01 SEC RULES MEMBERS No. 21-01 SMALL FUNDS MEMBERS No. 5-01 UNIT INVESTMENT TRUST MEMBERS No. 9...