Compliance Advisory Content

[17131] February 24, 2004 TO: COMPLIANCE ADVISORY COMMITTEE No. 23-04 INTERNATIONAL COMMITTEE No. 11-04 INTERNATIONAL OPERATIONS ADVISORY COMMITTEE No. 10-04 MONEY LAUNDERING RULES WORKING GROUP No. 7-04 PRIMARY CONTACTS - MEMBER COMPLEX No. 19-04 TRANSFER AGENT ADVISORY COMMITTEE No...

[17122] February 20, 2004 TO: COMPLIANCE ADVISORY COMMITTEE No. 22-04 SEC RULES MEMBERS No. 27-04 SMALL FUNDS MEMBERS No. 21-04 RE: NEW JERSEY FILES CHARGES AGAINST FUND ADVISERS, DISTRIBUTOR, AND PARENT COMPANY RELATING TO MARKET TIMING, SELECTIVE DISCLOSURE The Attorney General of...

[17116] February 19, 2004 TO: COMPLIANCE ADVISORY COMMITTEE No. 21-04 INTERNATIONAL COMMITTEE No. 10-04 INTERNATIONAL OPERATIONS ADVISORY COMMITTEE No. 9-04 MONEY LAUNDERING RULES WORKING GROUP No. 6-04 PRIMARY CONTACTS - MEMBER COMPLEX No. 18-04 TRANSFER AGENT ADVISORY COMMITTEE No...

[17091] February 11, 2004 TO: BOARD OF GOVERNORS No. 12-04 COMPLIANCE ADVISORY COMMITTEE No. 20-04 INVESTMENT COMPANY DIRECTORS No. 7-04 PRIMARY CONTACTS - MEMBER COMPLEX No. 15-04 SEC RULES MEMBERS No. 24-04 SMALL FUNDS MEMBERS No. 18-04 RE: INVESTMENT ADVISER AND TWO EXECUTIVES...

[17094] February 11, 2004 TO: COMPLIANCE ADVISORY COMMITTEE No. 19-04 RE: NOTICE OF COMPLIANCE ADVISORY COMMITTEE MEETING AND WEST COAST VIDEOCONFERENCE - MARCH 16, 2004 A meeting of the Compliance Advisory Committee has been scheduled for Tuesday, March 16, 2004, at the Investment...

[17089] February 9, 2004 TO: COMPLIANCE ADVISORY COMMITTEE No. 18-04 INTERNATIONAL COMMITTEE No. 9-04 INTERNATIONAL OPERATIONS ADVISORY COMMITTEE No. 7-04 MONEY LAUNDERING RULES WORKING GROUP No. 5-04 PRIMARY CONTACTS - MEMBER COMPLEX No. 14-04 TRANSFER AGENT ADVISORY COMMITTEE No. 17...

[17061] February 6, 2004 TO: COMPLIANCE ADVISORY COMMITTEE No. 16-04 SEC RULES MEMBERS No. 22-04 SMALL FUNDS MEMBERS No. 16-04 RE: MASSACHUSETTS SECURITIES DIVISION ACTION AGAINST MUTUAL FUND FIRM RELATING TO MARKET TIMING On February 4, 2004, the Enforcement Section of the...

[17074] February 6, 2004 TO: COMPLIANCE ADVISORY COMMITTEE No. 17-04 SEC RULES MEMBERS No. 23-04 SMALL FUNDS MEMBERS No. 17-04 RE: SEC AND NEW YORK ANNOUNCE ACTIONS AGAINST FORMER BANK EXECUTIVE RELATING TO LATE TRADING AND MARKET TIMING The Securities and Exchange Commission and the...

[17065] February 6, 2004 TO: CLOSED-END INVESTMENT COMPANY MEMBERS No. 6-04 COMPLIANCE ADVISORY COMMITTEE No. 14-04 SEC RULES MEMBERS No. 16-04 SMALL FUNDS MEMBERS No. 10-04 UNIT INVESTMENT TRUST MEMBERS No. 5-04 RE: INSTITUTE COMMENT LETTER ON PROPOSED REVISIONS TO RULE 22C-1 TO...

[17067] February 5, 2004 TO: CLOSED-END INVESTMENT COMPANY MEMBERS No. 7-04 COMPLIANCE ADVISORY COMMITTEE No. 15-04 SEC RULES MEMBERS No. 18-04 SMALL FUNDS MEMBERS No. 12-04 UNIT INVESTMENT TRUST MEMBERS No. 7-04 RE: INSTITUTE COMMENT LETTER ON PROPOSED REVISIONS TO RULE 38A-1 TO...