Compliance Advisory Content

    [20938]   March 8, 2007 TO: COMPLIANCE ADVISORY COMMITTEE No. 3-07 INVESTMENT ADVISER MEMBERS No. 6-07 INVESTMENT ADVISER ASSOCIATE MEMBERS No. 2-07 PRIVACY ISSUES WORKING GROUP No. 1-07 SEC RULES MEMBERS No. 31-07 SMALL FUNDS MEMBERS No. 21-07     RE: CALIFORNIA'S FINANCIAL...

    [20898]   February 23, 2007 TO: SEC RULES COMMITTEE No. 18-07 CHIEF COMPLIANCE OFFICER COMMITTEE No. 4-07 COMPLIANCE ADVISORY COMMITTEE No. 2-07 BROKER/DEALER ADVISORY COMMITTEE No. 14-07     RE: NASD REQUESTS COMMENT ON PROPOSED HARMONIZATION OF NASD AND NYSE DEFINITION OF...

    [20870] February 15, 2007 TO: CHIEF COMPLIANCE OFFICER COMMITTEE No. 3-07 COMPLIANCE ADVISORY COMMITTEE No. 1-07     RE: SPECIAL JOINT MEETING TO BE HELD DURING THE INSTITUTE’S 2007 MUTUAL FUND COMPLIANCE PROGRAMS CONFERENCE   In conjunction with the Institute’s Mutual Fund...

©2006 Investment Company Institute. All rights reserved. Information may be abridged and therefore incomplete. Communications from the Institute do not constitute, and should not be considered a substitute for, legal advice. [20587] November 15, 2006 TO: 529 PLAN ADVISORY COMMITTEE No...

©2006 Investment Company Institute. All rights reserved. Information may be abridged and therefore incomplete. Communications from the Institute do not constitute, and should not be considered a substitute for, legal advice. [20587] November 15, 2006 TO: 529 PLAN ADVISORY COMMITTEE No...

©2006 Investment Company Institute. All rights reserved. Information may be abridged and therefore incomplete. Communications from the Institute do not constitute, and should not be considered a substitute for, legal advice. [20565] November 14, 2006 TO: SEC RULES COMMITTEE No. 50-06...

©2006 Investment Company Institute. All rights reserved. Information may be abridged and therefore incomplete. Communications from the Institute do not constitute, and should not be considered a substitute for, legal advice. [20517] October 30, 2006 TO: COMPLIANCE ADVISORY COMMITTEE...

©2006 Investment Company Institute. All rights reserved. Information may be abridged and therefore incomplete. Communications from the Institute do not constitute, and should not be considered a substitute for, legal advice. [20517] October 30, 2006 TO: COMPLIANCE ADVISORY COMMITTEE...

©2006 Investment Company Institute. All rights reserved. Information may be abridged and therefore incomplete. Communications from the Institute do not constitute, and should not be considered a substitute for, legal advice. [20498] October 19, 2006 TO: COMPLIANCE ADVISORY COMMITTEE...

©2006 Investment Company Institute. All rights reserved. Information may be abridged and therefore incomplete. Communications from the Institute do not constitute, and should not be considered a substitute for, legal advice. [20486] October 16, 2006 TO: AML COMPLIANCE WORKING GROUP No...