Compliance Advisory Content

[17389] April 15, 2004 TO: COMPLIANCE ADVISORY COMMITTEE No. 43-04 INTERNATIONAL COMMITTEE No. 19-04 INTERNATIONAL OPERATIONS ADVISORY COMMITTEE No. 16-04 MONEY LAUNDERING RULES WORKING GROUP No. 12-04 PRIMARY CONTACTS - MEMBER COMPLEX No. 38-04 TRANSFER AGENT ADVISORY COMMITTEE No...

[17374] April 12, 2004 TO: COMPLIANCE ADVISORY COMMITTEE No. 42-04 RE: FUND REGULATORS TESTIFY BEFORE SENATE BANKING COMMITTEE; SEC OCIE STAFF ISSUES REPORT ON FUND AND ADVISER EXAMINATIONS On March 10, the Senate Banking Committee heard testimony from mutual fund regulators as part...

[17353] April 5, 2004 TO: BANK AND TRUST ADVISORY COMMITTEE No. 6-04BOARD OF GOVERNORS No. 28-04BROKER/DEALER ADVISORY COMMITTEE No. 11-04COMPLIANCE ADVISORY COMMITTEE No. 41-04OPERATIONS MEMBERS No. 17-04SEC RULES MEMBERS No. 51-04SHAREHOLDER COMMUNICATIONS COMMITTEE No. 6-04SMALL...

[17347] April 2, 2004 TO: BOARD OF GOVERNORS No. 27-04 COMPLIANCE ADVISORY COMMITTEE No. 40-04 INVESTMENT COMPANY DIRECTORS No. 18-04 PRIMARY CONTACTS - MEMBER COMPLEX No. 35-04 SEC RULES MEMBERS No. 50-04 SMALL FUNDS MEMBERS No. 38-04 RE: SEC AND NEW YORK ATTORNEY GENERAL REACH...

[17340] April 2, 2004 TO: BROKER/DEALER ADVISORY COMMITTEE No. 10-04 COMPLIANCE ADVISORY COMMITTEE No. 39-04 OPERATIONS MEMBERS No. 16-04 SEC RULES MEMBERS No. 48-04 TRANSFER AGENT ADVISORY COMMITTEE No. 30-04 RE: NASD ISSUES MEMBER ALERT RELATING TO FACILITATING REFUNDS OF MISSED...

[17266] March 23, 2004 TO: COMPLIANCE ADVISORY COMMITTEE No. 38-04 INTERNATIONAL COMMITTEE No. 17-04 INTERNATIONAL OPERATIONS ADVISORY COMMITTEE No. 14-04 MONEY LAUNDERING RULES WORKING GROUP No. 11-04 PRIMARY CONTACTS - MEMBER COMPLEX No. 30-04 TRANSFER AGENT ADVISORY COMMITTEE No...

[17242] March 18, 2004 TO: COMPLIANCE ADVISORY COMMITTEE No. 37-04 INTERNATIONAL COMMITTEE No. 16-04 INTERNATIONAL OPERATIONS ADVISORY COMMITTEE No. 13-04 MONEY LAUNDERING RULES WORKING GROUP No. 10-04 PRIMARY CONTACTS - MEMBER COMPLEX No. 28-04 TRANSFER AGENT ADVISORY COMMITTEE No...

[17229] March 17, 2004 TO: COMPLIANCE ADVISORY COMMITTEE No. 36-04 INTERNATIONAL COMMITTEE No. 15-04 INTERNATIONAL OPERATIONS ADVISORY COMMITTEE No. 12-04 MONEY LAUNDERING RULES WORKING GROUP No. 9-04 PRIMARY CONTACTS - MEMBER COMPLEX No. 27-04 TRANSFER AGENT ADVISORY COMMITTEE No. 27...

[17226] March 16, 2004 TO: CLOSED-END INVESTMENT COMPANY MEMBERS No. 17-04 COMPLIANCE ADVISORY COMMITTEE No. 35-04 INVESTMENT ADVISER MEMBERS No. 7-04 SEC RULES MEMBERS No. 42-04 SMALL FUNDS MEMBERS No. 33-04 RE: ICI COMMENT LETTER ON SEC PROPOSAL REGARDING INVESTMENT ADVISER CODES OF...

[17212] March 15, 2004 TO: CLOSED-END INVESTMENT COMPANY COMMITTEE No. 11-04 COMPLIANCE ADVISORY COMMITTEE No. 34-04 INVESTMENT ADVISERS COMMITTEE No. 5-04 SEC RULES COMMITTEE No. 24-04 SMALL FUNDS COMMITTEE No. 18-04 RE: PROXY VOTING DISCLOSURE SERVICES OFFERED BY THIRD PARTY VENDOR...