Compliance Advisory Content

[10686] February 1, 1999 TO: COMPLIANCE ADVISORY COMMITTEE No. 5-99 INTERNATIONAL COMMITTEE No. 3-99 OPERATIONS COMMITTEE No. 3-99 SEC RULES COMMITTEE No. 5-99 TRANSFER AGENT ADVISORY COMMITTEE No. 11-99 MONEY LAUNDERING TASK FORCE RE: INSTITUTE PAPER ON FOREIGN ASSETS CONTROL...

[10678] January 29, 1999 TO: ACCOUNTING/TREASURERS MEMBERS No. 6-99 CLOSED-END INVESTMENT COMPANY MEMBERS No. 8-99 COMPLIANCE ADVISORY COMMITTEE No. 4-99 INTERNATIONAL COMMITTEE No. 2-99 OPERATIONS MEMBERS No. 6-99 PRIMARY CONTACTS - MEMBER COMPLEX No. 6-99 SEC RULES MEMBERS No. 14-99...

* SEC Release No. IC-23670 (January 28, 1999). [10680] January 28, 1999 TO: CLOSED-END INVESTMENT COMPANY MEMBERS No. 7-99 COMPLIANCE ADVISORY COMMITTEE No. 3-99 INTERNATIONAL MEMBERS No. 4-99 SEC RULES MEMBERS No. 13-99 RE: SEC EXTENDS COMPLIANCE DATE FOR RULE 17f-5 AMENDMENTS ______...

1 SEC Release No. IC-23640 (January 12, 1999), attached. [10661] January 20, 1999 TO: CLOSED-END INVESTMENT COMPANY MEMBERS No. 5-99 COMPLIANCE ADVISORY COMMITTEE No. 2-99 INVESTMENT ADVISER MEMBERS No. 1-99 SEC RULES MEMBERS No. 10-99 RE: SEC MANDATES ELECTRONIC FILING OF FORM 13F __...

[10643] January 14, 1999 TO: CLOSED-END INVESTMENT COMPANY MEMBERS No. 4-99 COMPLIANCE ADVISORY COMMITTEE No. 1-99 INTERNATIONAL MEMBERS No. 1-99 SEC RULES MEMBERS No. 5-99 RE: POSSIBLE EXTENSION OF FEBRUARY 1 COMPLIANCE DATE FOR RULE 17f-5 AMENDMENTS _________________________________...

[10610] December 29, 1998 TO: ADVERTISING COMPLIANCE ADVISORY COMMITTEE No. 53-98 AUDIT COMMITTEE No. 6-98 BROKER/DEALER ASSOCIATE MEMBERS No. 18-98 COMPLIANCE ADVISORY COMMITTEE No. 39-98 CONTINUING EDUCATION/TRAINING MEMBERS No. 12-98 DIRECT MARKETING COMMITTEE No. 26-98 HUMAN...

[10503] November 20, 1998 TO: ACCOUNTING/TREASURERS MEMBERS No. 40-98 BANK INVESTMENT MANAGEMENT MEMBERS No. 10-98 CLOSED-END INVESTMENT COMPANY MEMBERS No. 41-98 COMPLIANCE ADVISORY COMMITTEE No. 38-98 INVESTMENT ADVISER ASSOCIATE MEMBERS No. 36-98 INVESTMENT ADVISER MEMBERS No. 37...

1 Reports To Be Made by Certain Brokers and Dealers, SEC Release No. 34-40608; FR-53; File No. S7-7-98 (October 28, 1998); 63 Fed. Reg. 59208 (November 3, 1998) (the “Release”). 2 See Reports to be Made by Certain Brokers and Dealers, SEC Release No. 34-40162; File No. S7-7-98 (July 2...

[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 _____________________________________________________________________...