Compliance Advisory Content

[17776] July 16, 2004 TO: COMPLIANCE ADVISORY COMMITTEE No. 73-04 PRIMARY CONTACTS - MEMBER COMPLEX No. 71-04 SEC RULES MEMBERS No. 104-04 SMALL FUNDS MEMBERS No. 80-04 RE: SEC FILES AMENDED COMPLAINT AGAINST FORMER BROKERS, BRANCH MANAGER RELATING TO MARKET TIMING OF MUTUAL FUND...

[17729] July 14, 2004 TO: BOARD OF GOVERNORS No. 48-04 COMPLIANCE ADVISORY COMMITTEE No. 72-04 PRIMARY CONTACTS - MEMBER COMPLEX No. 70-04 SEC RULES MEMBERS No. 103-04 SMALL FUNDS MEMBERS No. 79-04 RE: SEC AND NEW YORK REACH SETTLEMENTS WITH INVESTMENT ADVISER RELATING TO MARKET...

[17762] July 13, 2004 TO: SEC RULES COMMITTEE No. 60-04 SMALL FUNDS COMMITTEE No. 39-04 COMPLIANCE ADVISORY COMMITTEE No. 70-04 CLOSED-END INVESTMENT COMPANY COMMITTEE No. 26-04 INVESTMENT ADVISERS COMMITTEE No. 8-04 UNIT INVESTMENT TRUST COMMITTEE No. 16-04 TRANSFER AGENT ADVISORY...

[17768] July 13, 2004 TO: COMPLIANCE ADVISORY COMMITTEE No. 71-04 INTERNATIONAL COMMITTEE No. 39-04 INTERNATIONAL OPERATIONS ADVISORY COMMITTEE No. 29-04 MONEY LAUNDERING RULES WORKING GROUP No. 26-04 PRIMARY CONTACTS - MEMBER COMPLEX No. 69-04 TRANSFER AGENT ADVISORY COMMITTEE No. 62...

URGENT/ACTION REQUESTED [17747] July 2, 2004 TO: COMPLIANCE ADVISORY COMMITTEE No. 69-04 OPERATIONS MEMBERS No. 26-04 PRIMARY CONTACTS - MEMBER COMPLEX No. 67-04 PRIVACY ISSUES WORKING GROUP No. 1-04 SEC RULES MEMBERS No. 98-04 SMALL FUNDS MEMBERS No. 77-04 TECHNOLOGY ADVISORY...

[17731] July 1, 2004 TO: BOARD OF GOVERNORS No. 47-04 CEOS CLOSED-END INVESTMENT COMPANY MEMBERS No. 45-04 COMPLIANCE ADVISORY COMMITTEE No. 68-04 INVESTMENT COMPANY DIRECTORS No. 33-04 PRIMARY CONTACTS - MEMBER COMPLEX No. 66-04 SEC RULES MEMBERS No. 95-04 SMALL FUNDS MEMBERS No. 75...

[17727] June 30, 2004 TO: COMPLIANCE ADVISORY COMMITTEE No. 66-04 INTERNATIONAL COMMITTEE No. 38-04 INTERNATIONAL OPERATIONS ADVISORY COMMITTEE No. 28-04 MONEY LAUNDERING RULES WORKING GROUP No. 25-04 PRIMARY CONTACTS - MEMBER COMPLEX No. 65-04 TRANSFER AGENT ADVISORY COMMITTEE No. 58...

ACTION REQUESTED [17725] June 30, 2004 TO: COMPLIANCE ADVISORY COMMITTEE No. 65-04 INTERNATIONAL COMMITTEE No. 37-04 INTERNATIONAL OPERATIONS ADVISORY COMMITTEE No. 27-04 MONEY LAUNDERING RULES WORKING GROUP No. 24-04 TRANSFER AGENT ADVISORY COMMITTEE No. 57-04 RE: NEW OFAC ALERT...

[17726] June 30, 2004 TO: COMPLIANCE ADVISORY COMMITTEE No. 67-04 SEC RULES MEMBERS No. 94-04 SMALL FUNDS MEMBERS No. 74-04 RE: NASD FINES FIVE BROKERAGE FIRMS FOR FAILING TO MAINTAIN SUPERVISORY SYSTEMS TO PREVENT LATE TRADING OF FUND SHARES The NASD has announced the settlement of...

[17707] June 24, 2004 TO: COMPLIANCE ADVISORY COMMITTEE No. 63-04 INTERNATIONAL COMMITTEE No. 36-04 INTERNATIONAL OPERATIONS ADVISORY COMMITTEE No. 25-04 MONEY LAUNDERING RULES WORKING GROUP No. 23-04 PRIMARY CONTACTS - MEMBER COMPLEX No. 62-04 TRANSFER AGENT ADVISORY COMMITTEE No. 55...