Compliance Advisory Content

[17031] January 30, 2004 TO: CLOSED-END INVESTMENT COMPANY MEMBERS No. 5-04 COMPLIANCE ADVISORY COMMITTEE No. 12-04 SEC RULES MEMBERS No. 12-04 SMALL FUNDS MEMBERS No. 7-04 UNIT INVESTMENT TRUST MEMBERS No. 2-04 RE: AMENDMENTS TO THE RIGHT TO FINANCIAL PRIVACY ACT IMPACTING INVESTMENT...

[17032] January 30, 2004 TO: CLOSED-END INVESTMENT COMPANY COMMITTEE No. 6-04 COMPLIANCE ADVISORY COMMITTEE No. 13-04 EQUITY MARKETS ADVISORY COMMITTEE No. 2-04 INTERNATIONAL COMMITTEE No. 8-04 INVESTMENT ADVISERS COMMITTEE No. 3-04 PENSION COMMITTEE No. 6-04 SEC RULES COMMITTEE No...

[17015] January 28, 2004 TO: CLOSED-END INVESTMENT COMPANY COMMITTEE No. 5-04 COMPLIANCE ADVISORY COMMITTEE No. 11-04 INVESTMENT ADVISERS COMMITTEE No. 2-04 SEC RULES COMMITTEE No. 11-04 SMALL FUNDS COMMITTEE No. 8-04 RE: SEC PROPOSES NEW INVESTMENT ADVISER CODE OF ETHICS REQUIREMENT...

[17002] January 23, 2004 TO: CLOSED-END INVESTMENT COMPANY COMMITTEE No. 3-04 COMPLIANCE ADVISORY COMMITTEE No. 10-04 SEC RULES COMMITTEE No. 9-04 SMALL FUNDS COMMITTEE No. 6-04 UNIT INVESTMENT TRUST COMMITTEE No. 5-04 RE: DRAFT INSTITUTE COMMENT LETTER ON PROPOSED REVISIONS TO RULE...

[16995] January 22, 2004 TO: ACCOUNTING/TREASURERS MEMBERS No. 1-04 CLOSED-END INVESTMENT COMPANY MEMBERS No. 2-04 COMPLIANCE ADVISORY COMMITTEE No. 9-04 INVESTMENT COMPANY DIRECTORS No. 2-04 SEC RULES MEMBERS No. 8-04 SMALL FUNDS MEMBERS No. 3-04 TRANSFER AGENT ADVISORY COMMITTEE No...

[16994] January 22, 2004 TO: COMPLIANCE ADVISORY COMMITTEE No. 8-04 INTERNATIONAL COMMITTEE No. 6-04 INTERNATIONAL OPERATIONS ADVISORY COMMITTEE No. 4-04 MONEY LAUNDERING RULES WORKING GROUP No. 4-04 PRIMARY CONTACTS - MEMBER COMPLEX No. 6-04 TRANSFER AGENT ADVISORY COMMITTEE No. 9-04...

[16991] January 21, 2004 TO: COMPLIANCE ADVISORY COMMITTEE No. 7-04 INTERNATIONAL COMMITTEE No. 5-04 INTERNATIONAL OPERATIONS ADVISORY COMMITTEE No. 3-04 MONEY LAUNDERING RULES WORKING GROUP No. 3-04 PRIMARY CONTACTS - MEMBER COMPLEX No. 5-04 TRANSFER AGENT ADVISORY COMMITTEE No. 8-04...

[16986] January 16, 2004 TO: COMPLIANCE ADVISORY COMMITTEE No. 6-04 SEC RULES COMMITTEE No. 7-04 SMALL FUNDS COMMITTEE No. 5-04 RE: DRAFT INSTITUTE COMMENT LETTER ON DISCLOSURE PROPOSAL ON MARKET TIMING, FAIR VALUE PRICING, AND PORTFOLIO HOLDINGS As we previously advised you, the...

[16959] January 12, 2004 TO: COMPLIANCE ADVISORY COMMITTEE No. 5-04 INTERNATIONAL COMMITTEE No. 4-04 INTERNATIONAL OPERATIONS ADVISORY COMMITTEE No. 2-04 MONEY LAUNDERING RULES WORKING GROUP No. 2-04 PRIMARY CONTACTS - MEMBER COMPLEX No. 2-04 TRANSFER AGENT ADVISORY COMMITTEE No. 4-04...

[16957] January 12, 2004 TO: ACCOUNTING/TREASURERS COMMITTEE No. 1-04 COMPLIANCE ADVISORY COMMITTEE No. 4-04 OPERATIONS COMMITTEE No. 1-04 PENSION COMMITTEE No. 4-04 SEC RULES COMMITTEE No. 2-04 SMALL FUNDS COMMITTEE No. 1-04 TRANSFER AGENT ADVISORY COMMITTEE No. 3-04 RE: DRAFT...