Compliance Advisory Content

    [21362]   July 17, 2007 TO: COMPLIANCE ADVISORY COMMITTEE No. 13-07 INVESTMENT ADVISER MEMBERS No. 24-07 INVESTMENT ADVISER ASSOCIATE MEMBERS No. 4-07 PENSION MEMBERS No. 39-07 RE: FINAL RULE ON DEPARTMENT OF LABOR FORM LM-30   The Department of Labor released final amendments to...

    [21312]   June 28, 2007 TO: SEC RULES COMMITTEE No. 54-07 TECHNOLOGY ADVISORY COMMITTEE No. 18-07 COMPLIANCE ADVISORY COMMITTEE No. 12-07 CHIEF COMPLIANCE OFFICER COMMITTEE No. 16-07 BROKER/DEALER ADVISORY COMMITTEE No. 28-07 SMALL FUNDS COMMITTEE No. 24-07 RE: INSTITUTE DRAFT...

    [21289]   June 19, 2007 TO: SEC RULES COMMITTEE No. 52-07 TECHNOLOGY ADVISORY COMMITTEE No. 17-07 COMPLIANCE ADVISORY COMMITTEE No. 11-07 CHIEF COMPLIANCE OFFICER COMMITTEE No. 14-07 BROKER/DEALER ADVISORY COMMITTEE No. 26-07 SMALL FUNDS COMMITTEE No. 23-07 RE: NASD AND NYSE SEEK...

  [21220]   June 7, 2007 TO: CLOSED-END INVESTMENT COMPANY COMMITTEE No. 19-07 COMPLIANCE ADVISORY COMMITTEE No. 10-07 EQUITY MARKETS ADVISORY COMMITTEE No. 31-07 INVESTMENT ADVISERS COMMITTEE No. 12-07 SEC RULES COMMITTEE No. 48-07 SMALL FUNDS COMMITTEE No. 20-07 RE: DRAFT COMMENT...

    [21121]   May 8, 2007 TO: SEC RULES COMMITTEE No. 40-07 SMALL FUNDS COMMITTEE No. 15-07 COMPLIANCE ADVISORY COMMITTEE No. 9-07 CHIEF COMPLIANCE OFFICER COMMITTEE No. 12-07 CLOSED-END INVESTMENT COMPANY COMMITTEE No. 16-07 INVESTMENT ADVISERS COMMITTEE No. 11-07 UNIT INVESTMENT...

    [20996]   March 27, 2007 TO: CLOSED-END INVESTMENT COMPANY COMMITTEE No. 13-07 COMPLIANCE ADVISORY COMMITTEE No. 8-07 EQUITY MARKETS ADVISORY COMMITTEE No. 16-07 INTERNATIONAL COMMITTEE No. 7-07 INVESTMENT ADVISERS COMMITTEE No. 8-07 PENSION COMMITTEE No. 9-07 PRIMARY CONTACTS -...

    [20989]   March 23, 2007 TO: COMPLIANCE ADVISORY COMMITTEE No. 7-07 SMALL FUNDS COMMITTEE No. 13-07 SEC RULES COMMITTEE No. 31-07 CHIEF COMPLIANCE OFFICER COMMITTEE No. 8-07 CLOSED-END INVESTMENT COMPANY COMMITTEE No. 12-07 INVESTMENT ADVISERS COMMITTEE No. 7-07 UNIT INVESTMENT...

    [20983]   March 23, 2007 TO: CHIEF COMPLIANCE OFFICER COMMITTEE No. 7-07 COMPLIANCE ADVISORY COMMITTEE No. 6-07 INTERNATIONAL COMMITTEE No. 6-07 INTERNATIONAL INVESTING SUBCOMMITTEE No. 3-07 SEC RULES COMMITTEE No. 30-07 SMALL FUNDS COMMITTEE No. 12-07     RE: INFORMATION REQUIRED...

    [20961]   March 15, 2007 TO: SEC RULES COMMITTEE No. 27-07 CHIEF COMPLIANCE OFFICER COMMITTEE No. 6-07 COMPLIANCE ADVISORY COMMITTEE No. 5-07 BROKER/DEALER ADVISORY COMMITTEE No. 16-07     RE: DRAFT ICI COMMENT LETTER ON PROPOSED HARMONIZATION OF NASD AND NYSE DEFINITIONS OF...

    [20951]   March 14, 2007 TO: SEC RULES COMMITTEE No. 25-07 TECHNOLOGY ADVISORY COMMITTEE No. 8-07 COMPLIANCE ADVISORY COMMITTEE No. 4-07 CHIEF COMPLIANCE OFFICER COMMITTEE No. 5-07     RE: SEC EXAMINERS' REQUESTS FOR TELEPHONE RECORDS   Under Section 204 of the Investment Advisers...