Compliance Advisory Content

[18210] November 19, 2004 TO: BOARD OF GOVERNORS No. 78-04 CHIEF COMPLIANCE OFFICER COMMITTEE No. 28-04 COMPLIANCE ADVISORY COMMITTEE No. 113-04 SEC RULES MEMBERS No. 166-04 SMALL FUNDS MEMBERS No. 123-04 RE: FORMER EXECUTIVES OF FUND GROUP SETTLE SEC CHARGES RELATING TO MARKET TIMING...

[18195] November 18, 2004 TO: SEC RULES MEMBERS No. 164-04 EQUITY MARKETS ADVISORY COMMITTEE No. 46-04 CLOSED-END INVESTMENT COMPANY MEMBERS No. 74-04 BOARD OF GOVERNORS No. 76-04 COMPLIANCE ADVISORY COMMITTEE No. 111-04 CHIEF COMPLIANCE OFFICER COMMITTEE No. 26-04 INVESTMENT ADVISER...

[18216] November 18, 2004 TO: BOARD OF GOVERNORS No. 77-04 CHIEF COMPLIANCE OFFICER COMMITTEE No. 27-04 COMPLIANCE ADVISORY COMMITTEE No. 112-04 SEC RULES MEMBERS No. 165-04 SMALL FUNDS MEMBERS No. 122-04 RE: FUND DISTRIBUTOR SETTLES CALIFORNIA ENFORCEMENT ACTION RELATING TO DIRECTED...

[18204] November 17, 2004 TO: CHIEF COMPLIANCE OFFICER COMMITTEE No. 25-04 COMPLIANCE ADVISORY COMMITTEE No. 110-04 SEC RULES COMMITTEE No. 90-04 SMALL FUNDS COMMITTEE No. 49-04 RE: DRAFT ICI COMMENT LETTER ON NASD PROPOSAL TO BAN DIRECTED BROKERAGE -- COMMENTS ON DRAFT REQUESTED BY...

[18175] November 12, 2004 TO: BOARD OF GOVERNORS No. 74-04 CHIEF COMPLIANCE OFFICER COMMITTEE No. 23-04 COMPLIANCE ADVISORY COMMITTEE No. 108-04 SEC RULES MEMBERS No. 161-04 SMALL FUNDS MEMBERS No. 120-04 RE: SEC CHARGES FORMER EXECUTIVE OF FUND GROUP WITH FACILITATING MARKET TIMING...

[18167] November 12, 2004 TO: BOARD OF GOVERNORS No. 73-04 CHIEF COMPLIANCE OFFICER COMMITTEE No. 22-04 COMPLIANCE ADVISORY COMMITTEE No. 107-04 SEC RULES MEMBERS No. 160-04 SMALL FUNDS MEMBERS No. 119-04 RE: MUTUAL FUND INVESTMENT ADVISER SETTLES SEC AND NEW YORK ENFORCEMENT ACTIONS...

[18172] November 12, 2004 TO: BOARD OF GOVERNORS No. 75-04 CHIEF COMPLIANCE OFFICER COMMITTEE No. 24-04 COMPLIANCE ADVISORY COMMITTEE No. 109-04 SEC RULES MEMBERS No. 162-04 SMALL FUNDS MEMBERS No. 121-04 RE: SEC SETTLES WITH FORMER EXECUTIVE OF FUND GROUP CHARGED WITH FACILITATING...

[18185] November 11, 2004 TO: CHIEF COMPLIANCE OFFICER COMMITTEE No. 21-04 COMPLIANCE ADVISORY COMMITTEE No. 106-04 SEC RULES COMMITTEE No. 88-04 SMALL FUNDS COMMITTEE No. 48-04 RE: NASD ADOPTS CCO DESIGNATION REQUIREMENT WITH A COMPLIANCE DATE OF DECEMBER 1, 2004; ANNUAL CEO...

[18182] November 10, 2004 TO: CHIEF COMPLIANCE OFFICER COMMITTEE No. 19-04 COMPLIANCE ADVISORY COMMITTEE No. 104-04 RE: COMPLIANCE COMMITTEE MEETINGS - DRAFT AGENDAS As we previously informed you,1 the inaugural meeting of the CCO Committee and the next meeting of the Compliance...

[18184] November 10, 2004 TO: CHIEF COMPLIANCE OFFICER COMMITTEE No. 20-04 CLOSED-END INVESTMENT COMPANY MEMBERS No. 72-04 COMPLIANCE ADVISORY COMMITTEE No. 105-04 SEC RULES MEMBERS No. 159-04 RE: SEC NO-ACTION RELIEF GRANTED REGARDING APPLICATION OF RULE 38a-1 TO CLOSED-END FUND...