Compliance Advisory Content

[18504] February 4, 2005 TO: CHIEF COMPLIANCE OFFICER COMMITTEE No. 11-05 COMPLIANCE ADVISORY COMMITTEE No. 11-05 CLOSED-END INVESTMENT COMPANY MEMBERS No. 9-05 RE: INDIVIDUAL INVESTOR CONSENTS TO SETTLE SEC CHARGES RELATING TO TRADING OF CLOSED-END FUND SHARES The Securities and...

[18483] January 31, 2005 TO: CHIEF COMPLIANCE OFFICER COMMITTEE No. 10-05 CLOSED-END INVESTMENT COMPANY MEMBERS No. 7-05 COMPLIANCE ADVISORY COMMITTEE No. 10-05 INVESTMENT ADVISER ASSOCIATE MEMBERS No. 2-05 INVESTMENT ADVISER MEMBERS No. 2-05 PRIMARY CONTACTS - MEMBER COMPLEX No. 7-05...

[18479] January 28, 2005 TO: CHIEF COMPLIANCE OFFICER COMMITTEE No. 9-05 COMPLIANCE ADVISORY COMMITTEE No. 9-05 SEC RULES MEMBERS No. 18-05 SMALL FUNDS MEMBERS No. 12-05 RE: FORMER BROKERS SETTLE SEC CHARGES, PLEAD GUILTY TO NEW YORK CRIMINAL CHARGES RELATING TO LATE TRADING, MARKET...

[18473] January 27, 2005 TO: CHIEF COMPLIANCE OFFICER COMMITTEE No. 8-05 COMPLIANCE ADVISORY COMMITTEE No. 8-05 SEC RULES MEMBERS No. 17-05 SMALL FUNDS MEMBERS No. 11-05 RE: NASD ISSUES NOTICE TO MEMBERS REGARDING BAN ON DIRECTED BROKERAGE; EFFECTIVE DATE IS FEBRUARY 14, 2005 As we...

[18469] January 27, 2005 TO: ACCOUNTING/TREASURERS MEMBERS No. 2-05 COMPLIANCE ADVISORY COMMITTEE No. 7-05 CHIEF COMPLIANCE OFFICER COMMITTEE No. 7-05 CLOSED-END INVESTMENT COMPANY MEMBERS No. 6-05 INTERNATIONAL MEMBERS No. 3-05 PRIMARY CONTACTS - MEMBER COMPLEX No. 6-05 SEC RULES...

[18465] January 26, 2005 TO: CHIEF COMPLIANCE OFFICER COMMITTEE No. 6-05 COMPLIANCE ADVISORY COMMITTEE No. 6-05 SEC RULES MEMBERS No. 14-05 SMALL FUNDS MEMBERS No. 9-05 RE: BROKER-DEALER SETTLES NASD CHARGES OVER FAILURE TO MAINTAIN SUPERVISORY SYSTEMS TO PREVENT LATE TRADING OF FUND...

[18425] January 18, 2005 TO: SEC RULES COMMITTEE No. 4-05 COMPLIANCE ADVISORY COMMITTEE No. 5-05 CHIEF COMPLIANCE OFFICER COMMITTEE No. 5-05 CLOSED-END INVESTMENT COMPANY COMMITTEE No. 2-05 SMALL FUNDS MEMBERS No. 7-05 TECHNOLOGY ADVISORY COMMITTEE No. 2-05 INVESTMENT ADVISERS...

[18423] January 18, 2005 TO: CHIEF COMPLIANCE OFFICER COMMITTEE No. 3-05 COMPLIANCE ADVISORY COMMITTEE No. 4-05 SEC RULES MEMBERS No. 10-05 SMALL FUNDS MEMBERS No. 5-05 RE: BROKER-DEALER SETTLES NASD CHARGES RELATING TO MARKET TIMING OF MUTUAL FUNDS The NASD has announced the...

[18411] January 13, 2005 TO: BOARD OF GOVERNORS No. 3-05 CHIEF COMPLIANCE OFFICER COMMITTEE No. 2-05 COMPLIANCE ADVISORY COMMITTEE No. 3-05 PRIMARY CONTACTS - MEMBER COMPLEX No. 2-05 SEC RULES MEMBERS No. 7-05 SMALL FUNDS MEMBERS No. 3-05 RE: BROKER-DEALER SETTLES SEC, NASD AND NYSE...