Compliance Advisory Content

[18603] March 4, 2005 TO: CHIEF COMPLIANCE OFFICER COMMITTEE No. 23-05 COMPLIANCE ADVISORY COMMITTEE No. 21-05 SEC RULES MEMBERS No. 34-05 SMALL FUNDS MEMBERS No. 21-05 RE: SEC SETTLES WITH BROKER-DEALER REGARDING LATE TRADING OF MUTUAL FUND SHARES The Securities and Exchange...

[18625] March 4, 2005 TO: CLOSED-END INVESTMENT COMPANY COMMITTEE No. 11-05 COMPLIANCE ADVISORY COMMITTEE No. 20-05 CHIEF COMPLIANCE OFFICER COMMITTEE No. 22-05 EQUITY MARKETS ADVISORY COMMITTEE No. 16-05 SEC RULES COMMITTEE No. 19-05 SMALL FUNDS COMMITTEE No. 6-05 RE: SEC AND NASD...

[18592] February 28, 2005 TO: BROKER/DEALER ADVISORY COMMITTEE No. 5-05 BROKER/DEALER ASSOCIATE MEMBERS No. 2-05 CHIEF COMPLIANCE OFFICER COMMITTEE No. 20-05 COMPLIANCE ADVISORY COMMITTEE No. 18-05 SEC RULES MEMBERS No. 33-05 SMALL FUNDS MEMBERS No. 20-05 RE: NASD SETTLES WITH BROKER...

[18599] February 28, 2005 TO: CHIEF COMPLIANCE OFFICER COMMITTEE No. 21-05 COMPLIANCE ADVISORY COMMITTEE No. 19-05 RE: PLANS FOR UPCOMING CCO COMMITTEE MEETINGS/NOTICE OF MARCH MEETINGS - RESPONSE REQUESTED BY MARCH 7TH PLANS FOR UPCOMING CCO COMMITTEE MEETINGS As you know, the...

[18569] February 25, 2005 TO: BROKER/DEALER ADVISORY COMMITTEE No. 4-05 BROKER/DEALER ASSOCIATE MEMBERS No. 1-05 CHIEF COMPLIANCE OFFICER COMMITTEE No. 18-05 COMPLIANCE ADVISORY COMMITTEE No. 17-05 SEC RULES MEMBERS No. 32-05 SMALL FUNDS MEMBERS No. 19-05 RE: NASD ACTION AGAINST...

[18526] February 18, 2005 TO: CHIEF COMPLIANCE OFFICER COMMITTEE No. 17-05 COMPLIANCE ADVISORY COMMITTEE No. 16-05 SEC RULES MEMBERS No. 31-05 SMALL FUNDS MEMBERS No. 18-05 RE: MUTUAL FUND INVESTMENT ADVISER AND AFFILIATED ENTITIES SETTLE SEC ENFORCEMENT ACTION RELATING TO MARKET...

[18536] February 18, 2005 TO: CHIEF COMPLIANCE OFFICER COMMITTEE No. 16-05 COMPLIANCE ADVISORY COMMITTEE No. 15-05 SEC RULES MEMBERS No. 30-05 SMALL FUNDS MEMBERS No. 17-05 RE: MUTUAL FUND INVESTMENT ADVISER AND AFFILIATED DISTRIBUTOR SETTLE SEC ENFORCEMENT ACTION RELATING TO MARKET...

[18490] February 17, 2005 TO: CHIEF COMPLIANCE OFFICER COMMITTEE No. 15-05 COMPLIANCE ADVISORY COMMITTEE No. 14-05 EQUITY MARKETS ADVISORY COMMITTEE No. 13-05 CLOSED-END INVESTMENT COMPANY MEMBERS No. 14-05 INVESTMENT ADVISER MEMBERS No. 4-05 INVESTMENT ADVISER ASSOCIATE MEMBERS No. 4...

[18549] February 16, 2005 TO: BOARD OF GOVERNORS No. 8-05 CHIEF COMPLIANCE OFFICER COMMITTEE No. 14-05 COMPLIANCE ADVISORY COMMITTEE No. 13-05 SEC RULES MEMBERS No. 28-05 SMALL FUNDS MEMBERS No. 15-05 RE: DISTRICT COURT HOLDS THAT THERE IS NO IMPLIED PRIVATE RIGHT OF ACTION UNDER...

[18545] February 15, 2005 TO: CHIEF COMPLIANCE OFFICER COMMITTEE No. 13-05 COMPLIANCE ADVISORY COMMITTEE No. 12-05 SEC RULES COMMITTEE No. 15-05 SMALL FUNDS COMMITTEE No. 4-05 RE: HEARING OFFICER DISMISSES SEC ENFORCEMENT PROCEEDING ALLEGING FRAUD IN CONNECTION WITH SALES OF CLASS B...