Compliance Advisory Content

[17925] August 27, 2004 TO: CHIEF COMPLIANCE OFFICER COMMITTEE COMPLIANCE ADVISORY COMMITTEE No. 83-04 SEC RULES MEMBERS No. 120-04 SMALL FUNDS MEMBERS No. 92-04 RE: SEC FILES FRAUD CHARGES AGAINST BROKER-DEALER AND RELATED PARTIES FOR FACILITATING LATE TRADING AND MARKET TIMING IN...

[17884] August 23, 2004 TO: CLOSED-END INVESTMENT COMPANY MEMBERS No. 57-04 COMPLIANCE ADVISORY COMMITTEE No. 82-04 SEC RULES MEMBERS No. 118-04 SMALL FUNDS MEMBERS No. 90-04 RE: SEC STAFF GUIDANCE ON FORM N-PX The Institute has received informal guidance from the staff of the SEC’s...

[17892] August 17, 2004 TO: BOARD OF GOVERNORS No. 53-04 COMPLIANCE ADVISORY COMMITTEE No. 81-04 PRIMARY CONTACTS - MEMBER COMPLEX No. 78-04 SEC RULES MEMBERS No. 116-04 SMALL FUNDS MEMBERS No. 89-04 VARIABLE INSURANCE PRODUCTS ADVISORY COMMITTEE No. 6-04 RE: SEC AND NEW YORK REACH...

[17894] August 13, 2004 TO: COMPLIANCE ADVISORY COMMITTEE No. 78-04 OPERATIONS MEMBERS No. 29-04 PRIMARY CONTACTS - MEMBER COMPLEX No. 77-04 PRIVACY ISSUES WORKING GROUP No. 4-04 SEC RULES MEMBERS No. 112-04 SMALL FUNDS MEMBERS No. 85-04 TECHNOLOGY ADVISORY COMMITTEE No. 23-04 RE...

[17895] August 13, 2004 TO: CLOSED-END INVESTMENT COMPANY COMMITTEE No. 33-04 COMPLIANCE ADVISORY COMMITTEE No. 79-04 INVESTMENT ADVISERS COMMITTEE No. 12-04 PRIVACY ISSUES WORKING GROUP No. 5-04 SEC RULES COMMITTEE No. 70-04 SMALL FUNDS COMMITTEE No. 45-04 TRANSFER AGENT ADVISORY...

[17897] August 13, 2004 TO: CLOSED-END INVESTMENT COMPANY MEMBERS No. 56-04 COMPLIANCE ADVISORY COMMITTEE No. 80-04 SEC RULES MEMBERS No. 114-04 SMALL FUNDS MEMBERS No. 87-04 UNIT INVESTMENT TRUST MEMBERS No. 35-04 OPERATIONS MEMBERS No. 30-04 TRANSFER AGENT ADVISORY COMMITTEE No. 69...

[17857] August 5, 2004 TO: BOARD OF GOVERNORS No. 52-04 COMPLIANCE ADVISORY COMMITTEE No. 77-04 PRIMARY CONTACTS - MEMBER COMPLEX No. 76-04 SEC RULES MEMBERS No. 109-04 SMALL FUNDS MEMBERS No. 83-04 RE: MUTUAL FUND INVESTMENT ADVISER SETTLES SEC ENFORCEMENT ACTION RELATING TO MARKET...

[17823] July 28, 2004 TO: SEC RULES COMMITTEE No. 64-04 SMALL FUNDS COMMITTEE No. 42-04 COMPLIANCE ADVISORY COMMITTEE No. 76-04 CLOSED-END INVESTMENT COMPANY COMMITTEE No. 30-04 INVESTMENT ADVISERS COMMITTEE No. 10-04 TRANSFER AGENT ADVISORY COMMITTEE No. 65-04 UNIT INVESTMENT TRUST...

[17809] July 23, 2004 TO: CLOSED-END INVESTMENT COMPANY MEMBERS No. 51-04 COMPLIANCE ADVISORY COMMITTEE No. 75-04 SEC RULES MEMBERS No. 105-04 SMALL FUNDS MEMBERS No. 81-04 UNIT INVESTMENT TRUST MEMBERS No. 32-04 TRANSFER AGENT ADVISORY COMMITTEE No. 64-04 OPERATIONS MEMBERS No. 28-04...

[17803] July 23, 2004 TO: CLOSED-END INVESTMENT COMPANY COMMITTEE No. 28-04 COMPLIANCE ADVISORY COMMITTEE No. 74-04 PRIMARY CONTACTS - MEMBER COMPLEX No. 72-04 SEC RULES COMMITTEE No. 62-04 SMALL FUNDS COMMITTEE No. 41-04 UNIT INVESTMENT TRUST COMMITTEE No. 18-04 RE: NEW CHIEF...