Compliance Advisory Content

[18120] November 5, 2004 TO: BOARD OF GOVERNORS No. 70-04 CHIEF COMPLIANCE OFFICER COMMITTEE No. 18-04 CLOSED-END INVESTMENT COMPANY MEMBERS No. 71-04 COMPLIANCE ADVISORY COMMITTEE No. 103-04 INVESTMENT ADVISER ASSOCIATE MEMBERS No. 11-04 INVESTMENT ADVISER MEMBERS No. 23-04 PRIMARY...

[18111] October 25, 2004 TO: BOARD OF GOVERNORS No. 68-04 CHIEF COMPLIANCE OFFICER COMMITTEE No. 17-04 COMPLIANCE ADVISORY COMMITTEE No. 102-04 PRIMARY CONTACTS - MEMBER COMPLEX No. 97-04 SEC RULES MEMBERS No. 155-04 SMALL FUNDS MEMBERS No. 116-04 RE: SEC SETTLES WITH FORMER EXECUTIVE...

[18095] October 25, 2004 TO: BOARD OF GOVERNORS No. 67-04 CHIEF COMPLIANCE OFFICER COMMITTEE No. 16-04 COMPLIANCE ADVISORY COMMITTEE No. 101-04 PRIMARY CONTACTS - MEMBER COMPLEX No. 96-04 SEC RULES MEMBERS No. 154-04 SMALL FUNDS MEMBERS No. 115-04 RE: MUTUAL FUND INVESTMENT ADVISERS...

[18126] October 22, 2004 TO: CLOSED-END INVESTMENT COMPANY MEMBERS No. 68-04 COMPLIANCE ADVISORY COMMITTEE No. 100-04 INVESTMENT ADVISER MEMBERS No. 21-04 PRIVACY ISSUES WORKING GROUP No. 7-04 SEC RULES MEMBERS No. 153-04 SMALL FUNDS MEMBERS No. 114-04 TRANSFER AGENT ADVISORY...

[18082] October 19, 2004 TO: BOARD OF GOVERNORS No. 66-04 CHIEF COMPLIANCE OFFICER COMMITTEE No. 15-04 COMPLIANCE ADVISORY COMMITTEE No. 99-04 PRIMARY CONTACTS - MEMBER COMPLEX No. 94-04 SEC RULES MEMBERS No. 151-04 SMALL FUNDS MEMBERS No. 112-04 RE: MUTUAL FUND INVESTMENT ADVISERS...

[18073] October 12, 2004 TO: CHIEF COMPLIANCE OFFICER COMMITTEE No. 14-04 CLOSED-END INVESTMENT COMPANY COMMITTEE No. 39-04 COMPLIANCE ADVISORY COMMITTEE No. 98-04 PRIMARY CONTACTS - MEMBER COMPLEX No. 93-04 SEC RULES COMMITTEE No. 80-04 SMALL FUNDS COMMITTEE No. 47-04 RE: NEW...

[18089] October 11, 2004 TO: BROKER/DEALER ADVISORY COMMITTEE No. 28-04 BROKER/DEALER ASSOCIATE MEMBERS No. 5-04 CHIEF COMPLIANCE OFFICER COMMITTEE No. 13-04 COMPLIANCE ADVISORY COMMITTEE No. 97-04 SEC RULES MEMBERS No. 150-04 SMALL FUNDS MEMBERS No. 111-04 RE: NASD SANCTIONS MUTUAL...

[18083] October 8, 2004 TO: CHIEF COMPLIANCE OFFICER COMMITTEE No. 12-04 COMPLIANCE ADVISORY COMMITTEE No. 96-04 RE: NOTICE OF CCO COMMITTEE AND COMPLIANCE ADVISORY COMMITTEE MEETINGS - RESPONSE REQUESTED BY MONDAY, OCTOBER 18TH We are pleased to announce the inaugural meeting of the...

[18063] October 4, 2004 TO: BOARD OF GOVERNORS No. 63-04 CHIEF COMPLIANCE OFFICER COMMITTEE No. 11-04 COMPLIANCE ADVISORY COMMITTEE No. 95-04 PRIMARY CONTACTS - MEMBER COMPLEX No. 91-04 SEC RULES MEMBERS No. 146-04 SMALL FUNDS MEMBERS No. 109-04 RE: TWO FUND ADVISERS AND AFFILIATED...

[18042] October 1, 2004 TO: BOARD OF GOVERNORS No. 62-04 CHIEF COMPLIANCE OFFICER COMMITTEE No. 10-04 COMPLIANCE ADVISORY COMMITTEE No. 94-04 PRIMARY CONTACTS - MEMBER COMPLEX No. 89-04 SEC RULES MEMBERS No. 145-04 SMALL FUNDS MEMBERS No. 108-04 RE: MUTUAL FUND INVESTMENT ADVISER...