Compliance Advisory Content

[12577] September 7, 2000 TO: COMPLIANCE ADVISORY COMMITTEE No. 32-00 RE: DRAFT AGENDA FOR SEPTEMBER 20TH MEETING Attached is the draft agenda for the Compliance Advisory Committee meeting scheduled for Wednesday, September 20th at 10:00 a.m. in the David Silver Conference Room at the...

[12458] August 10, 2000 TO: COMPLIANCE ADVISORY COMMITTEE No. 31-00 SEC RULES MEMBERS No. 59-00 RE: SEC STAFF NO-ACTION LETTER CONCERNING RULE 17j-1 REPORTING REQUIREMENTS FOR INDEPENDENT DIRECTORS OF INVESTMENT ADVISERS The Division of Investment Management of the Securities and...

[12420] August 1, 2000 TO: ACCOUNTING/TREASURERS MEMBERS No. 21-00 CLOSED-END INVESTMENT COMPANY MEMBERS No. 15-00 COMPLIANCE ADVISORY COMMITTEE No. 29-00 EQUITY MARKETS ADVISORY COMMITTEE No. 42-00 FIXED-INCOME ADVISORY COMMITTEE No. 5-00 INTERNATIONAL MEMBERS No. 12-00 INVESTMENT...

[12381] July 27, 2000 TO: COMPLIANCE ADVISORY COMMITTEE No. 28-00 RE: NOTICE OF MEETING - WEDNESDAY, SEPTEMBER 20, 2000 The next meeting of the Compliance Advisory Committee has been scheduled for Wednesday, September 20, 2000, at the Institute's offices at 1401 H Street, N.W...

[12324] July 20, 2000 TO: COMPLIANCE ADVISORY COMMITTEE No. 27-00 SEC RULES MEMBERS No. 50-00 RE: NASDR ISSUES ADDITIONAL GUIDANCE ON NON-CASH COMPENSATION PAID IN CONNECTION WITH TRAINING OR EDUCATION MEETINGS NASD Regulation, Inc. recently published additional guidance regarding...

[12305] July 19, 2000 TO: BANK AND TRUST ADVISORY COMMITTEE No. 17-00 BROKER/DEALER ASSOCIATE MEMBERS No. 9-00 COMPLIANCE ADVISORY COMMITTEE No. 26-00 INTERNATIONAL MEMBERS No. 11-00 SEC RULES MEMBERS No. 47-00 TRANSFER AGENT ADVISORY COMMITTEE No. 33-00 RE: FINCEN RELEASES MONEY...

[12212] July 13, 2000 TO: COMPLIANCE ADVISORY COMMITTEE No. 25-00 INVESTMENT ADVISER ASSOCIATE MEMBERS No. 23-00 INVESTMENT ADVISER MEMBERS No. 25-00 RE: DISTRICT COURT INJUNCTION AND SEC BAR ORDER ENTERED AGAINST PORTFOLIO MANAGER FOR PERSONAL TRADING VIOLATIONS The United States...

[12105] June 26, 2000 TO: ACCOUNTING/TREASURERS MEMBERS No. 16-00 CLOSED-END INVESTMENT COMPANY MEMBERS No. 13-00 COMPLIANCE ADVISORY COMMITTEE No. 23-00 EQUITY MARKETS ADVISORY COMMITTEE No. 38-00 FIXED-INCOME ADVISORY COMMITTEE No. 4-00 INTERNATIONAL MEMBERS No. 9-00 INVESTMENT...

[12007] June 19, 2000 TO: ADVERTISING COMPLIANCE ADVISORY COMMITTEE No. 20-00 COMPLIANCE ADVISORY COMMITTEE No. 22-00 CONTINUING EDUCATION AND TRAINING MEMBERS No. 6-00 DIRECT MARKETING COMMITTEE No. 13-00 HUMAN RESOURCES FORUM No. 7-00 PRIMARY CONTACTS – MEMBER COMPLEX No. 39-00...

[11956] June 16, 2000 TO: COMPLIANCE ADVISORY COMMITTEE No. 21-00 ELECTRONIC COMMERCE ADVISORY COMMITTEE No. 4-00 INTERNAL AUDIT ADVISORY COMMITTEE No. 4-00 INVESTMENT ADVISER MEMBERS No. 20-00 OPERATIONS MEMBERS No. 13-00 PRIMARY CONTACTS - MEMBER COMPLEX No. 38-00 SEC RULES MEMBERS...