Compliance Advisory Content

1 NASD Notice to Members 99-45 (June 1999). 2 The Notice adds that this responsibility does not preclude a member from implementing a supervisory system designed by another party. However, if a member chooses to implement such a system, it must make its own determination that the...

* Notice to Members 99-51 (June 1999) [11076] June 24, 1999 TO: COMPLIANCE ADVISORY COMMITTEE No. 25-99 SEC RULES COMMITTEE No. 48-99 RE: NASDR SEEKS COMMENT ON WHETHER TO REQUIRE THE REGISTRATION OF CHIEF COMPLIANCE OFFICERS ___________________________________________________________...

[11058] June 17, 1999 TO: COMPLIANCE ADVISORY COMMITTEE No. 23-99 SEC RULES MEMBERS No. 39-99 RE: LORI RICHARDS' SPEECH AT ICI COMPLIANCE CONFERENCE ______________________________________________________________________________ Lori Richards, the Director of the SEC's Office of...

[11051] June 14, 1999 TO: ACCOUNTING/TREASURERS MEMBERS No. 14-99 BANK INVESTMENT MANAGEMENT MEMBERS No. 2-99 CLOSED-END INVESTMENT COMPANY MEMBERS No. 22-99 COMPLIANCE ADVISORY COMMITTEE No. 22-99 INVESTMENT ADVISER ASSOCIATE MEMBERS No. 14-99 INVESTMENT ADVISER MEMBERS No. 11-99...

*See Memorandum to Closed-End Investment Company Committee No. 4-97, Compliance Advisory Committee No. 6-97, SEC Rules Committee No. 22-97 and Unit Investment Trust Committee No. 12-97, dated February 25, 1997. [11049] June 14, 1999 TO: CLOSED-END INVESTMENT COMPANY COMMITTEE No. 19...

[11025] June 1, 1999 TO: ADVERTISING COMPLIANCE ADVISORY COMMITTEE No. 12-99 AUDIT COMMITTEE No. 1-99 BROKER/DEALER ASSOCIATE MEMBERS No. 5-99 COMPLIANCE ADVISORY COMMITTEE No. 20-99 CONTINUING EDUCATION/TRAINING MEMBERS No. 4-99 DIRECT MARKETING COMMITTEE No. 10-99 HUMAN RESOURCES...

[10995] May 19, 1999 TO: COMPLIANCE ADVISORY COMMITTEE No. 19-99 OPERATIONS COMMITTEE No. 19-99 PRIMARY CONTACTS - MEMBER COMPLEX No. 55-99 SEC RULES COMMITTEE No. 39-99 TRANSFER AGENT ADVISORY COMMITTEE No. 32-99 MONEY LAUNDERING TASK FORCE RE: INSTITUTE PAPER ON MONEY LAUNDERING...

[10988] May 17, 1999 TO: ACCOUNTING/TREASURERS MEMBERS No. 13-99 CLOSED-END INVESTMENT COMPANY MEMBERS No. 18-99 COMPLIANCE ADVISORY COMMITTEE No. 18-99 INTERNATIONAL COMMITTEE No. 22-99 OPERATIONS MEMBERS No. 12-99 PRIMARY CONTACTS - MEMBER COMPLEX No. 53-99 SEC RULES MEMBERS No. 31...

1 In the Matter of Liberty Financial Companies, Inc. (File No. 982 3522) (May 6, 1999). 2 The notice must include a description of the types of information being collected, how the information is used or disclosed, and how a parent may obtain, upon request, the personal information...