Compliance Advisory Content

[17559] May 20, 2004 TO: BROKER/DEALER ADVISORY COMMITTEE No. 18-04 COMPLIANCE ADVISORY COMMITTEE No. 53-04 INVESTMENT ADVISER MEMBERS No. 9-04 OPERATIONS COMMITTEE No. 10-04 SEC RULES MEMBERS No. 75-04 SMALL FUNDS MEMBERS No. 55-04 TRANSFER AGENT ADVISORY COMMITTEE No. 47-04 RE: SEC...

[17551] May 18, 2004 TO: COMPLIANCE ADVISORY COMMITTEE No. 52-04 INTERNATIONAL COMMITTEE No. 28-04 INTERNATIONAL OPERATIONS ADVISORY COMMITTEE No. 20-04 MONEY LAUNDERING RULES WORKING GROUP No. 16-04 PRIMARY CONTACTS - MEMBER COMPLEX No. 45-04 TRANSFER AGENT ADVISORY COMMITTEE No. 46...

1 See SEC v. PIMCO Advisors Fund Management LLC, PEA Capital LLC f/k/a PIMCO Equity Advisors LLC, PIMCO Advisors Distributors LLC, Stephen J. Treadway, and Kenneth W. Corba, Civil Action No. 04 Civ. 3464 (VM) (S.D.N.Y. May 6, 2004). A copy of the litigation release and complaint are...

[17532] May 14, 2004 TO: SEC RULES MEMBERS No. 71-04 COMPLIANCE ADVISORY COMMITTEE No. 50-04 INVESTMENT ADVISER MEMBERS No. 8-04 CLOSED-END INVESTMENT COMPANY MEMBERS No. 31-04 RE: NASD AND NYSE INTERPRETIVE GUIDANCE ON ANALYST CONFLICT OF INTEREST RULES The NASD and NYSE have issued...

[17511] May 12, 2004 TO: ACCOUNTING/TREASURERS MEMBERS No. 22-04 COMPLIANCE ADVISORY COMMITTEE No. 49-04 INTERNAL AUDIT ADVISORY COMMITTEE No. 7-04 SEC RULES MEMBERS No. 68-04 RE: DOL ADMINISTRATIVE CASE INTERPRETS SARBANES-OXLEY WHISTLEBLOWER PROTECTION PROVISIONS A recent ruling by...

[17493] May 11, 2004 TO: COMPLIANCE ADVISORY COMMITTEE No. 48-04 PENSION COMMITTEE No. 27-04 PENSION OPERATIONS ADVISORY COMMITTEE No. 38-04 SEC RULES COMMITTEE No. 43-04 SMALL FUNDS COMMITTEE No. 29-04 RE: INSTITUTE COMMENT LETTER ON PROPOSED BAN ON DIRECTED BROKERAGE ARRANGEMENTS...

[17471] May 6, 2004 TO: COMPLIANCE ADVISORY COMMITTEE No. 47-04 INTERNATIONAL COMMITTEE No. 25-04 INTERNATIONAL OPERATIONS ADVISORY COMMITTEE No. 19-04 MONEY LAUNDERING RULES WORKING GROUP No. 15-04 PRIMARY CONTACTS - MEMBER COMPLEX No. 41-04 TRANSFER AGENT ADVISORY COMMITTEE No. 41...

[17455] May 3, 2004 TO: CLOSED-END INVESTMENT COMPANY MEMBERS No. 29-04 COMPLIANCE ADVISORY COMMITTEE No. 46-04 INTERNAL AUDIT ADVISORY COMMITTEE No. 5-04 OPERATIONS MEMBERS No. 21-04 SEC RULES MEMBERS No. 64-04 SMALL FUNDS MEMBERS No. 48-04 TECHNOLOGY ADVISORY COMMITTEE No. 11-04...

[17448] April 29, 2004 TO: COMPLIANCE ADVISORY COMMITTEE No. 45-04 INTERNATIONAL COMMITTEE No. 22-04 INTERNATIONAL OPERATIONS ADVISORY COMMITTEE No. 17-04 MONEY LAUNDERING RULES WORKING GROUP No. 14-04 PRIMARY CONTACTS - MEMBER COMPLEX No. 40-04 TRANSFER AGENT ADVISORY COMMITTEE No...

ACTION REQUESTED [17438] April 28, 2004 TO: BANK AND TRUST ADVISORY COMMITTEE No. 9-04BOARD OF GOVERNORS No. 32-04BROKER/DEALER ADVISORY COMMITTEE No. 14-04COMPLIANCE ADVISORY COMMITTEE No. 44-04OPERATIONS MEMBERS No. 20-04SEC RULES MEMBERS No. 63-04SHAREHOLDER COMMUNICATIONS...