Compliance Advisory Content

[18410] January 12, 2005 TO: CLOSED-END INVESTMENT COMPANY COMMITTEE No. 1-05 COMPLIANCE ADVISORY COMMITTEE No. 2-05 INVESTMENT ADVISERS COMMITTEE No. 2-05 SEC RULES COMMITTEE No. 3-05 SMALL FUNDS COMMITTEE No. 1-05 RE: DRAFTING GUIDE FOR CODES OF ETHICS UNDER RULES 17j-1 AND 204A-1...

[18384] January 6, 2005 TO: BOARD OF GOVERNORS No. 2-05 CEOS CHIEF COMPLIANCE OFFICER COMMITTEE No. 1-05 CLOSED-END INVESTMENT COMPANY MEMBERS No. 1-05 COMPLIANCE ADVISORY COMMITTEE No. 1-05 PRIMARY CONTACTS - MEMBER COMPLEX No. 1-05 SEC RULES MEMBERS No. 2-05 SMALL FUNDS MEMBERS No...

[18369] December 22, 2004 TO: COMPLIANCE ADVISORY COMMITTEE No. 122-04 PENSION COMMITTEE No. 60-04 PENSION OPERATIONS ADVISORY COMMITTEE No. 85-04 SEC RULES COMMITTEE No. 100-04 SMALL FUNDS COMMITTEE No. 53-04 RE: SEC APPROVES NASD’S PROPOSED BAN ON DIRECTED BROKERAGE The Securities...

[18348] December 22, 2004 TO: BOARD OF GOVERNORS No. 90-04 CHIEF COMPLIANCE OFFICER COMMITTEE No. 36-04 COMPLIANCE ADVISORY COMMITTEE No. 121-04 SEC RULES MEMBERS No. 179-04 SMALL FUNDS MEMBERS No. 132-04 RE: BROKER-DEALER SETTLES WITH SEC AND NASD REGARDING SALES OF SYSTEMATIC...

[18340] December 16, 2004 TO: BOARD OF GOVERNORS No. 87-04 CHIEF COMPLIANCE OFFICER COMMITTEE No. 34-04 COMPLIANCE ADVISORY COMMITTEE No. 120-04 SEC RULES MEMBERS No. 176-04 SMALL FUNDS MEMBERS No. 130-04 RE: MUTUAL FUND ADVISER AND AFFILIATED DISTRIBUTOR SETTLE SEC ENFORCEMENT ACTION...

[18322] December 10, 2004 TO: CHIEF COMPLIANCE OFFICER COMMITTEE No. 33-04 CLOSED-END INVESTMENT COMPANY COMMITTEE No. 46-04 COMPLIANCE ADVISORY COMMITTEE No. 118-04 EQUITY MARKETS ADVISORY COMMITTEE No. 51-04 INVESTMENT ADVISERS COMMITTEE No. 20-04 SEC RULES COMMITTEE No. 97-04 SMALL...

[18319] December 9, 2004 TO: CLOSED-END INVESTMENT COMPANY MEMBERS No. 79-04 COMPLIANCE ADVISORY COMMITTEE No. 117-04 INVESTMENT ADVISER MEMBERS No. 25-04 PRIVACY ISSUES WORKING GROUP No. 8-04 SEC RULES MEMBERS No. 170-04 SMALL FUNDS MEMBERS No. 126-04 TRANSFER AGENT ADVISORY...

[18259] November 30, 2004 TO: COMPLIANCE ADVISORY COMMITTEE No. 115-04 RE: SURVEY OF COMMITTEE MEMBERS REGARDING COMMITTEE MEETINGS - RESPONSE REQUESTED BY DECEMBER 6TH At the November 17th Compliance Advisory Committee meeting, we distributed a brief survey questionnaire seeking...

[18273] November 30, 2004 TO: CHIEF COMPLIANCE OFFICER COMMITTEE No. 31-04 COMPLIANCE ADVISORY COMMITTEE No. 116-04 SEC RULES MEMBERS No. 168-04 SMALL FUNDS MEMBERS No. 125-04 RE: INSTITUTE COMMENT LETTER ON NASD PROPOSAL TO BAN DIRECTED BROKERAGE The Securities and Exchange...

[18248] November 24, 2004 TO: BOARD OF GOVERNORS No. 80-04 CHIEF COMPLIANCE OFFICER COMMITTEE No. 29-04 CLOSED-END INVESTMENT COMPANY COMMITTEE No. 43-04 COMPLIANCE ADVISORY COMMITTEE No. 114-04 EQUITY MARKETS ADVISORY COMMITTEE No. 47-04 INDEPENDENT DIRECTORS COUNCIL No. 13-04...