Compliance Advisory Content

    [24211]   April 1, 2010   TO: CHIEF COMPLIANCE OFFICER COMMITTEE No. 4-10 COMPLIANCE ADVISORY COMMITTEE No. 5-10 INTERNAL AUDIT ADVISORY COMMITTEE No. 4-10 SEC RULES COMMITTEE No. 14-10     RE: SEC APPOINTS ITS FIRST CHIEF COMPLIANCE OFFICER   The SEC has announced the appointment...

    [24197]   March 26, 2010 TO: COMPLIANCE ADVISORY COMMITTEE No. 4-10 INTERNAL AUDIT ADVISORY COMMITTEE No. 3-10 RISK MANAGEMENT ADVISORY COMMITTEE No. 4-10 RISK MANAGEMENT COMMITTEE No. 6-10 SEC RULES MEMBERS No. 25-10 SMALL FUNDS MEMBERS No. 19-10     RE: APRIL 20th  CONFERENCE...

    [24147]   February 24, 2010 TO: BROKER/DEALER ADVISORY COMMITTEE No. 7-10 CHIEF COMPLIANCE OFFICER COMMITTEE No. 3-10 COMPLIANCE ADVISORY COMMITTEE No. 3-10 SEC RULES COMMITTEE No. 9-10 TRANSFER AGENT ADVISORY COMMITTEE No. 12-10     RE: ICI FILES LETTER WITH FINRA SUPPORTING...

    [24097]   January 25, 2010 TO: TRANSFER AGENT ADVISORY COMMITTEE No. 2-10 BROKER/DEALER ADVISORY COMMITTEE No. 3-10 CHIEF COMPLIANCE OFFICER COMMITTEE No. 2-10 COMPLIANCE ADVISORY COMMITTEE No. 2-10 SEC RULES COMMITTEE No. 4-10     RE: DRAFT ICI LETTER SUPPORTING GREATER...

    [24085]   January 14, 2010 TO: CHIEF COMPLIANCE OFFICER COMMITTEE No. 1-10 CLOSED-END INVESTMENT COMPANY MEMBERS No. 5-10 COMPLIANCE ADVISORY COMMITTEE No. 1-10 DIRECTORS ISSUES RISK MANAGEMENT ADVISORY COMMITTEE No. 1-10 SEC RULES MEMBERS No. 8-10 SMALL FUNDS MEMBERS No. 6-10    ...

    [24005]   December 8, 2009 TO: COMPLIANCE ADVISORY COMMITTEE No. 7-09 EQUITY MARKETS ADVISORY COMMITTEE No. 55-09 FIXED-INCOME ADVISORY COMMITTEE No. 30-09 MONEY MARKET FUNDS ADVISORY COMMITTEE No. 51-09 MUNICIPAL SECURITIES ADVISORY COMMITTEE No. 59-09 SEC RULES MEMBERS No. 134...

    [23996]   December 4, 2009 TO: BANK, TRUST AND RECORDKEEPER ADVISORY COMMITTEE No. 52-09 BROKER/DEALER ADVISORY COMMITTEE No. 63-09 COMPLIANCE ADVISORY COMMITTEE No. 6-09 TRANSFER AGENT ADVISORY COMMITTEE No. 90-09 SMALL FUNDS MEMBERS No. 70-09 OPERATIONS MEMBERS No. 27-09 PENSION...

    [23951]   November 13, 2009 TO: COMPLIANCE ADVISORY COMMITTEE No. 5-09 EQUITY MARKETS ADVISORY COMMITTEE No. 50-09 FIXED-INCOME ADVISORY COMMITTEE No. 26-09 MONEY MARKET FUNDS ADVISORY COMMITTEE No. 47-09 MUNICIPAL SECURITIES ADVISORY COMMITTEE No. 54-09 SEC RULES COMMITTEE No. 66...

    [23369]   April 1, 2009 TO: CHIEF COMPLIANCE OFFICER COMMITTEE No. 7-09 COMPLIANCE ADVISORY COMMITTEE No. 4-09     RE: NEW DATE AND LOCATION FOR 2009 MUTUAL FUND COMPLIANCE PROGRAMS CONFERENCE; SPECIAL JOINT COMMITTEE MEETING, MAY 8TH   The 2009 Mutual Fund Compliance Programs...

    [23325]   March 18, 2009 TO: CHIEF COMPLIANCE OFFICER COMMITTEE No. 6-09 COMPLIANCE ADVISORY COMMITTEE No. 3-09 INST. MONEY MARKET FUNDS ADVISORY COMMITTEE No. 9-09 MONEY MARKET FUNDS ADVISORY COMMITTEE No. 9-09 MUNICIPAL SECURITIES ADVISORY COMMITTEE No. 8-09 SEC RULES COMMITTEE...