Compliance Advisory Content

    [23265]   February 20, 2009 TO: BANK, TRUST AND RECORDKEEPER ADVISORY COMMITTEE No. 6-09 BROKER/DEALER ADVISORY COMMITTEE No. 8-09 CHIEF COMPLIANCE OFFICER COMMITTEE No. 4-09 COMPLIANCE ADVISORY COMMITTEE No. 1-09 SEC RULES COMMITTEE No. 7-09 TRANSFER AGENT ADVISORY COMMITTEE No...

    [23268]   February 20, 2009 TO: BANK, TRUST AND RECORDKEEPER ADVISORY COMMITTEE No. 8-09 BROKER/DEALER ADVISORY COMMITTEE No. 10-09 CHIEF COMPLIANCE OFFICER COMMITTEE No. 5-09 COMPLIANCE ADVISORY COMMITTEE No. 2-09 OPERATIONS COMMITTEE No. 3-09 SEC RULES COMMITTEE No. 8-09...

    [23155]   December 31, 2008 TO: BANK, TRUST AND RECORDKEEPER ADVISORY COMMITTEE No. 41-08 BROKER/DEALER ADVISORY COMMITTEE No. 52-08 OPERATIONS COMMITTEE No. 23-08 SMALL FUNDS COMMITTEE No. 32-08 TRANSFER AGENT ADVISORY COMMITTEE No. 73-08 CHIEF COMPLIANCE OFFICER COMMITTEE No. 24...

    [23116]   December 10, 2008 TO: ACCOUNTING/TREASURERS COMMITTEE No. 21-08 CHIEF COMPLIANCE OFFICER COMMITTEE No. 21-08 CLOSED-END INVESTMENT COMPANY COMMITTEE No. 34-08 COMPLIANCE ADVISORY COMMITTEE No. 19-08 ETF ADVISORY COMMITTEE No. 36-08 EQUITY MARKETS ADVISORY COMMITTEE No...

    [23032]   October 27, 2008 TO: CHIEF COMPLIANCE OFFICER COMMITTEE No. 18-08 COMPLIANCE ADVISORY COMMITTEE No. 18-08     RE: WEST COAST MEETING OF THE CCO AND COMPLIANCE ADVISORY COMMITTEES SCHEDULED IN SAN MATEO, CALIFORNIA FOR DEC. 17th ; RSVP BY DEC. 5th   To accommodate those...

    [23013] October 23, 2008 TO: ETF ADVISORY COMMITTEE No. 32-08 EQUITY MARKETS ADVISORY COMMITTEE No. 56-08 SEC RULES COMMITTEE No. 74-08 CLOSED-END INVESTMENT COMPANY COMMITTEE No. 33-08 ACCOUNTING/TREASURERS COMMITTEE No. 13-08 CHIEF COMPLIANCE OFFICER COMMITTEE No. 17-08...

 [22956] October 2, 2008 TO: SEC RULES MEMBERS No. 111-08 ETF ADVISORY COMMITTEE No. 30-08 CLOSED-END INVESTMENT COMPANY MEMBERS No. 48-08 EQUITY MARKETS ADVISORY COMMITTEE No. 51-08 INVESTMENT ADVISER MEMBERS No. 13-08 COMPLIANCE ADVISORY COMMITTEE No. 16-08 ACCOUNTING/TREASURERS...

[22903] September 23, 2008 TO: CHIEF COMPLIANCE OFFICER COMMITTEE No. 13-08 CLOSED-END INVESTMENT COMPANY COMMITTEE No. 32-08 COMPLIANCE ADVISORY COMMITTEE No. 15-08 EQUITY MARKETS ADVISORY COMMITTEE No. 46-08 FIXED-INCOME ADVISORY COMMITTEE No. 27-08 INTERNATIONAL COMMITTEE No. 24-08...

    [22833]   August 29, 2008 TO: COMPLIANCE ADVISORY COMMITTEE No. 14-08 PRIVACY ISSUES WORKING GROUP No. 9-08     RE: UPDATED CHART SUMMARIZING STATE SECURITY BREACH NOTIFICATION LAWS   Attached is a copy of the most recent chart published by DLA Piper summarizing those state laws...

    [22808]   August 18, 2008 TO: SEC RULES COMMITTEE No. 60-08 INTERNATIONAL COMMITTEE No. 21-08 CHIEF COMPLIANCE OFFICER COMMITTEE No. 10-08 COMPLIANCE ADVISORY COMMITTEE No. 13-08 INST. MONEY MARKET FUNDS ADVISORY COMMITTEE No. 17-08     RE: REMINDER - CONFERENCE CALL FOR IOSCO...