Compliance Advisory Content

[16951] January 9, 2004 TO: BROKER/DEALER ADVISORY COMMITTEE No. 1-04 BROKER/DEALER ASSOCIATE MEMBERS No. 2-04 COMPLIANCE ADVISORY COMMITTEE No. 3-04 INTERNAL AUDIT ADVISORY COMMITTEE No. 1-04 MONEY LAUNDERING RULES WORKING GROUP No. 1-04 OPERATIONS MEMBERS No. 2-04 PENSION COMMITTEE...

[16945] January 8, 2004 TO: COMPLIANCE ADVISORY COMMITTEE No. 2-04 SEC RULES MEMBERS No. 4-04 SMALL FUNDS MEMBERS No. 1-04 RE: SEC FILES EMERGENCY ENFORCEMENT ACTION AGAINST MARKET TIMER, OBTAINS TEMPORARY RESTRAINING ORDER The Securities and Exchange Commission recently filed a civil...

[16922] December 24, 2003 TO: COMPLIANCE ADVISORY COMMITTEE No. 115-03 INTERNATIONAL COMMITTEE No. 85-03 INTERNATIONAL OPERATIONS ADVISORY COMMITTEE No. 53-03 MONEY LAUNDERING RULES WORKING GROUP No. 65-03 PRIMARY CONTACTS - MEMBER COMPLEX No. 118-03 TRANSFER AGENT ADVISORY COMMITTEE...

[16911] December 22, 2003 TO: COMPLIANCE ADVISORY COMMITTEE No. 113-03 INTERNATIONAL COMMITTEE No. 84-03 INTERNATIONAL OPERATIONS ADVISORY COMMITTEE No. 52-03 MONEY LAUNDERING RULES WORKING GROUP No. 64-03 PRIMARY CONTACTS - MEMBER COMPLEX No. 115-03 TRANSFER AGENT ADVISORY COMMITTEE...

[16903] December 22, 2003 TO: BOARD OF GOVERNORS No. 77-03 COMPLIANCE ADVISORY COMMITTEE No. 114-03 INVESTMENT COMPANY DIRECTORS No. 29-03 PRIMARY CONTACTS - MEMBER COMPLEX No. 117-03 SEC RULES MEMBERS No. 196-03 SMALL FUNDS MEMBERS No. 92-03 RE: MUTUAL FUND INVESTMENT ADVISER SETTLES...

[16904] December 19, 2003 TO: CLOSED-END INVESTMENT COMPANY COMMITTEE No. 67-03 COMPLIANCE ADVISORY COMMITTEE No. 112-03 SEC RULES COMMITTEE No. 105-03 SMALL FUNDS COMMITTEE No. 35-03 UNIT INVESTMENT TRUST COMMITTEE No. 25-03 RE: SEC ADOPTS FUND AND ADVISER COMPLIANCE RULES AND SEEKS...

[16878] December 16, 2003 TO: ACCOUNTING/TREASURERS MEMBERS No. 59-03 COMPLIANCE ADVISORY COMMITTEE No. 111-03 INVESTMENT COMPANY DIRECTORS No. 26-03 SEC RULES MEMBERS No. 188-03 SMALL FUNDS MEMBERS No. 86-03 RE: SEC ACTION AGAINST ADVISER, ITS OFFICERS AND DIRECTORS, A PRICING VENDOR...

[16877] December 15, 2003 TO: COMPLIANCE ADVISORY COMMITTEE No. 108-03 INVESTMENT ADVISER MEMBERS No. 41-03 SEC RULES MEMBERS No. 185-03 SMALL FUNDS MEMBERS No. 84-03 RE: MASSACHUSETTS FILES ADMINISTRATIVE ACTION AGAINST BROKER-DEALER FOR MARKET TIMING AND LATE TRADING OF MUTUAL FUNDS...

[16881] December 15, 2003 TO: CLOSED-END INVESTMENT COMPANY MEMBERS No. 110-03 COMPLIANCE ADVISORY COMMITTEE No. 109-03 INTERNAL AUDIT ADVISORY COMMITTEE No. 10-03 INVESTMENT COMPANY DIRECTORS No. 25-03 SEC RULES MEMBERS No. 186-03 TRANSFER AGENT ADVISORY COMMITTEE No. 113-03 UNIT...

[16879] December 15, 2003 TO: COMPLIANCE ADVISORY COMMITTEE No. 110-03 SEC RULES COMMITTEE No. 103-03 SMALL FUNDS COMMITTEE No. 34-03 RE: SEC PROPOSES DISCLOSURE REQUIREMENTS RELATING TO MARKET TIMING, FAIR VALUE PRICING, AND SELECTIVE DISCLOSURE OF PORTFOLIO HOLDINGS The Securities...