Compliance Advisory Content

URGENT/ACTION REQUESTED [17179] March 5, 2004 TO: CLOSED-END INVESTMENT COMPANY COMMITTEE No. 10-04 COMPLIANCE ADVISORY COMMITTEE No. 33-04 INVESTMENT ADVISERS COMMITTEE No. 4-04 SEC RULES COMMITTEE No. 21-04 SMALL FUNDS COMMITTEE No. 16-04 RE: DRAFT ICI COMMENT LETTER ON SEC PROPOSAL...

[17177] March 4, 2004 TO: ACCOUNTING/TREASURERS MEMBERS No. 13-04 BOARD OF GOVERNORS No. 18-04 CLOSED-END INVESTMENT COMPANY MEMBERS No. 13-04 COMPLIANCE ADVISORY COMMITTEE No. 32-04 INTERNAL AUDIT ADVISORY COMMITTEE No. 3-04 SEC RULES MEMBERS No. 35-04 SMALL FUNDS MEMBERS No. 28-04...

[17167] March 2, 2004 TO: COMPLIANCE ADVISORY COMMITTEE No. 31-04 PENSION COMMITTEE No. 10-04 PENSION OPERATIONS ADVISORY COMMITTEE No. 19-04 SEC RULES COMMITTEE No. 20-04 SMALL FUNDS COMMITTEE No. 15-04 RE: SEC AND NASD PROPOSE BAN ON DIRECTED BROKERAGE AND SEC SEEKS COMMENT ON...

[17144] March 2, 2004 TO: BOARD OF GOVERNORS No. 17-04 CLOSED-END INVESTMENT COMPANY MEMBERS No. 12-04 COMPLIANCE ADVISORY COMMITTEE No. 30-04 DIRECTORS’ COMMITTEE No. 6-04 INVESTMENT ADVISER MEMBERS No. 5-04 PRIMARY CONTACTS - MEMBER COMPLEX No. 22-04 SEC RULES MEMBERS No. 33-04...

[17162] March 2, 2004 TO: COMPLIANCE ADVISORY COMMITTEE No. 29-04 INTERNATIONAL COMMITTEE No. 13-04 INTERNATIONAL OPERATIONS ADVISORY COMMITTEE No. 11-04 MONEY LAUNDERING RULES WORKING GROUP No. 8-04 PRIMARY CONTACTS - MEMBER COMPLEX No. 21-04 TRANSFER AGENT ADVISORY COMMITTEE No. 23...

[17156] March 1, 2004 TO: COMPLIANCE ADVISORY COMMITTEE No. 28-04 RE: COMPLIANCE ADVISORY COMMITTEE MEETING - DRAFT AGENDA As we previously informed you,1 the next meeting of the Compliance Advisory Committee is scheduled for Tuesday, March 16, 2004. The meeting will take place at the...

[17150] February 27, 2004 TO: COMPLIANCE ADVISORY COMMITTEE No. 27-04 SEC RULES MEMBERS No. 32-04 SMALL FUNDS MEMBERS No. 25-04 RE: SEC AND NEW YORK FILE ENFORCEMENT ACTIONS AGAINST FUND ADVISER AND DISTRIBUTOR RELATING TO MARKET TIMING The Securities and Exchange Commission and the...

[17143] February 26, 2004 TO: ACCOUNTING/TREASURERS MEMBERS No. 10-04 INVESTMENT ADVISER MEMBERS No. 4-04 COMPLIANCE ADVISORY COMMITTEE No. 26-04 INTERNAL AUDIT ADVISORY COMMITTEE No. 2-04 OPERATIONS MEMBERS No. 14-04 SEC RULES MEMBERS No. 31-04 RE: SEC EXTENDS COMPLIANCE DATES FOR...

[17134] February 24, 2004 TO: COMPLIANCE ADVISORY COMMITTEE No. 25-04 SEC RULES MEMBERS No. 30-04 SMALL FUNDS MEMBERS No. 24-04 RE: MUTUAL FUND DISTRIBUTOR SETTLES NASD CHARGES OF MARKET TIMING SUPERVISION VIOLATIONS The NASD has announced the settlement of charges against a...