Compliance Advisory Content

[18040] September 28, 2004 TO: BOARD OF GOVERNORS No. 60-04 CHIEF COMPLIANCE OFFICER COMMITTEE No. 9-04 COMPLIANCE ADVISORY COMMITTEE No. 93-04 INVESTMENT ADVISER MEMBERS No. 20-04 INVESTMENT ADVISER ASSOCIATE MEMBERS No. 10-04 PRIMARY CONTACTS - MEMBER COMPLEX No. 86-04 SEC RULES...

[17993] September 20, 2004 TO: BOARD OF GOVERNORS No. 57-04 CHIEF COMPLIANCE OFFICER COMMITTEE No. 6-04 COMPLIANCE ADVISORY COMMITTEE No. 89-04 PRIMARY CONTACTS - MEMBER COMPLEX No. 82-04 SEC RULES MEMBERS No. 135-04 SMALL FUNDS MEMBERS No. 101-04 RE: SEC SETTLES WITH FORMER EMPLOYEES...

[18009] September 20, 2004 TO: BOARD OF GOVERNORS No. 59-04 CHIEF COMPLIANCE OFFICER COMMITTEE No. 8-04 COMPLIANCE ADVISORY COMMITTEE No. 91-04 PRIMARY CONTACTS - MEMBER COMPLEX No. 84-04 SEC RULES MEMBERS No. 137-04 SMALL FUNDS MEMBERS No. 103-04 RE: TWO MUTUAL FUND INVESTMENT...

[18011] September 20, 2004 TO: BOARD OF GOVERNORS No. 58-04 BROKER/DEALER ADVISORY COMMITTEE No. 26-04 CHIEF COMPLIANCE OFFICER COMMITTEE No. 7-04 COMPLIANCE ADVISORY COMMITTEE No. 90-04 PRIMARY CONTACTS - MEMBER COMPLEX No. 83-04 SEC RULES MEMBERS No. 136-04 SMALL FUNDS MEMBERS No...

[18019] September 20, 2004 TO: CLOSED-END INVESTMENT COMPANY MEMBERS No. 64-04 COMPLIANCE ADVISORY COMMITTEE No. 92-04 INVESTMENT ADVISER MEMBERS No. 18-04 PRIVACY ISSUES WORKING GROUP No. 6-04 SEC RULES MEMBERS No. 139-04 SMALL FUNDS MEMBERS No. 105-04 TRANSFER AGENT ADVISORY...

[18013] September 17, 2004 TO: CLOSED-END INVESTMENT COMPANY MEMBERS No. 63-04 COMPLIANCE ADVISORY COMMITTEE No. 88-04 INTERNAL AUDIT ADVISORY COMMITTEE No. 11-04 OPERATIONS MEMBERS No. 32-04 SEC RULES MEMBERS No. 134-04 SMALL FUNDS MEMBERS No. 100-04 TECHNOLOGY ADVISORY COMMITTEE No...

[17957] September 8, 2004 TO: CHIEF COMPLIANCE OFFICER COMMITTEE No. 5-04 COMPLIANCE ADVISORY COMMITTEE No. 87-04 SEC RULES MEMBERS No. 127-04 SMALL FUNDS MEMBERS No. 98-04 RE: SEC PROHIBITS USE OF BROKERAGE COMMISSIONS TO FINANCE DISTRIBUTION The Securities and Exchange Commission...

[17948] September 3, 2004 TO: CHIEF COMPLIANCE OFFICER COMMITTEE No. 4-04 COMPLIANCE ADVISORY COMMITTEE No. 86-04 SEC RULES MEMBERS No. 124-04 SMALL FUNDS MEMBERS No. 96-04 RE: INVESTMENT ADVISER AND ITS PRESIDENT SETTLE SEC FRAUD CHARGES RELATING TO MISSTATED VALUATIONS OF FUND...

[17930] August 31, 2004 TO: BOARD OF GOVERNORS No. 55-04 BROKER/DEALER ADVISORY COMMITTEE No. 25-04 BROKER/DEALER ASSOCIATE MEMBERS No. 4-04 COMPLIANCE ADVISORY COMMITTEE No. 84-04 PRIMARY CONTACTS - BROKER DEALER ASSOCIATE MEMBERS PRIMARY CONTACTS - MEMBER COMPLEX No. 79-04 SEC RULES...

[17931] August 31, 2004 TO: BOARD OF GOVERNORS No. 56-04 CHIEF COMPLIANCE OFFICER COMMITTEE No. 3-04 COMPLIANCE ADVISORY COMMITTEE No. 85-04 PRIMARY CONTACTS - MEMBER COMPLEX No. 80-04 SEC RULES MEMBERS No. 122-04 SMALL FUNDS MEMBERS No. 94-04 RE: MUTUAL FUND INVESTMENT ADVISER...