Compliance Advisory Content

[17706] June 24, 2004 TO: BOARD OF GOVERNORS No. 46-04 COMPLIANCE ADVISORY COMMITTEE No. 64-04 PRIMARY CONTACTS - MEMBER COMPLEX No. 63-04 SEC RULES MEMBERS No. 92-04 SMALL FUNDS MEMBERS No. 72-04 RE: INVESTMENT ADVISER SETTLES SEC AND NEW YORK ENFORCEMENT ACTIONS RELATING TO MARKET...

[17677] June 15, 2004 TO: PENSION MEMBERS No. 32-04 PENSION OPERATIONS ADVISORY COMMITTEE No. 41-04 EQUITY MARKETS ADVISORY COMMITTEE No. 28-04 COMPLIANCE ADVISORY COMMITTEE No. 62-04 RE: DOL ADVISORY OPINION ON APPLICABILITY OF ERISA PROHIBITED TRANSACTION RULES TO ALTERNATIVE...

[17669] June 10, 2004 TO: COMPLIANCE ADVISORY COMMITTEE No. 61-04 INTERNATIONAL COMMITTEE No. 33-04 INTERNATIONAL OPERATIONS ADVISORY COMMITTEE No. 24-04 MONEY LAUNDERING RULES WORKING GROUP No. 21-04 PRIMARY CONTACTS - MEMBER COMPLEX No. 59-04 TRANSFER AGENT ADVISORY COMMITTEE No. 54...

[17626] June 8, 2004 TO: COMPLIANCE ADVISORY COMMITTEE No. 59-04 SEC RULES MEMBERS No. 85-04 SMALL FUNDS MEMBERS No. 64-04 RE: NEW JERSEY ATTORNEY GENERAL REACHES SETTLEMENT WITH FUND ADVISER RELATING TO MARKET TIMING, SELECTIVE DISCLOSURE The Attorney General of New Jersey has issued...

[17646] June 8, 2004 TO: COMPLIANCE ADVISORY COMMITTEE No. 60-04 SEC RULES MEMBERS No. 87-04 SMALL FUNDS MEMBERS No. 66-04 RE: SEC FILES FRAUD CHARGES AGAINST INVESTMENT ADVISER, BROKER-DEALER FOR MARKET TIMING AND LATE TRADING OF MUTUAL FUNDS The Securities and Exchange Commission...

[17621] June 3, 2004 TO: COMPLIANCE ADVISORY COMMITTEE No. 58-04 SEC RULES MEMBERS No. 82-04 SMALL FUNDS MEMBERS No. 62-04 RE: BROKER-DEALER SETTLES NASD CHARGES OF FACILITATING DECEPTIVE MARKET TIMING IN VARIABLE ANNUITIES The NASD has announced the settlement of charges against a...

[17618] June 3, 2004 TO: COMPLIANCE ADVISORY COMMITTEE No. 57-04 INTERNATIONAL COMMITTEE No. 32-04 INTERNATIONAL OPERATIONS ADVISORY COMMITTEE No. 23-04 MONEY LAUNDERING RULES WORKING GROUP No. 20-04 PRIMARY CONTACTS - MEMBER COMPLEX No. 54-04 TRANSFER AGENT ADVISORY COMMITTEE No. 52...

[17614] June 2, 2004 TO: COMPLIANCE ADVISORY COMMITTEE No. 56-04 INTERNATIONAL COMMITTEE No. 31-04 INTERNATIONAL OPERATIONS ADVISORY COMMITTEE No. 22-04 MONEY LAUNDERING RULES WORKING GROUP No. 19-04 PRIMARY CONTACTS - MEMBER COMPLEX No. 53-04 TRANSFER AGENT ADVISORY COMMITTEE No. 51...

[17612] June 1, 2004 TO: COMPLIANCE ADVISORY COMMITTEE No. 55-04 INTERNATIONAL COMMITTEE No. 30-04 INTERNATIONAL OPERATIONS ADVISORY COMMITTEE No. 21-04 MONEY LAUNDERING RULES WORKING GROUP No. 18-04 PRIMARY CONTACTS - MEMBER COMPLEX No. 52-04 TRANSFER AGENT ADVISORY COMMITTEE No. 50...

[17591] May 27, 2004 TO: BOARD OF GOVERNORS No. 40-04 COMPLIANCE ADVISORY COMMITTEE No. 54-04 PRIMARY CONTACTS - MEMBER COMPLEX No. 50-04 SEC RULES MEMBERS No. 80-04 SMALL FUNDS MEMBERS No. 61-04 RE: INVESTMENT ADVISER AND ITS FOUNDER SETTLE SEC, NEW YORK, AND WISCONSIN ENFORCEMENT...