Compliance Advisory Content

[16873] December 12, 2003 TO: ACCOUNTING/TREASURERS COMMITTEE No. 38-03 COMPLIANCE ADVISORY COMMITTEE No. 107-03 OPERATIONS COMMITTEE No. 26-03 PENSION COMMITTEE No. 46-03 SEC RULES COMMITTEE No. 102-03 SMALL FUNDS COMMITTEE No. 33-03 TRANSFER AGENT ADVISORY COMMITTEE No. 112-03 RE...

[16849] December 8, 2003 TO: BOARD OF GOVERNORS No. 69-03 COMPLIANCE ADVISORY COMMITTEE No. 106-03 SEC RULES MEMBERS No. 177-03 SMALL FUNDS MEMBERS No. 77-03 RE: SEC FILES CIVIL ACTION AGAINST REGISTERED ADVISER AND ITS AFFILIATES AND PRINCIPALS ALLEGING MARKET TIMING AND LATE TRADING...

[16842] December 5, 2003 TO: COMPLIANCE ADVISORY COMMITTEE No. 104-03 INTERNATIONAL COMMITTEE No. 81-03 INTERNATIONAL OPERATIONS ADVISORY COMMITTEE No. 51-03 MONEY LAUNDERING RULES WORKING GROUP No. 63-03 PRIMARY CONTACTS - MEMBER COMPLEX No. 107-03 TRANSFER AGENT ADVISORY COMMITTEE...

[16843] December 5, 2003 TO: COMPLIANCE ADVISORY COMMITTEE No. 105-03 SEC RULES MEMBERS No. 174-03 SMALL FUNDS MEMBERS No. 76-03 RE: SEC AND STATE ENFORCEMENT ACTIONS AGAINST FUND ADVISER AND ITS CEO RELATING TO MARKET TIMING The Securities and Exchange Commission and the Attorneys...

[16828] November 28, 2003 TO: COMPLIANCE ADVISORY COMMITTEE No. 103-03 SEC RULES MEMBERS No. 170-03 SMALL FUNDS MEMBERS No. 74-03 RE: SEC, OCC, AND NEW YORK ANNOUNCE ACTIONS AGAINST INTERMEDIARY RELATING TO LATE TRADING AND MARKET TIMING The Securities and Exchange Commission and the...

[16805] November 21, 2003 TO: COMPLIANCE ADVISORY COMMITTEE No. 102-03 SEC RULES MEMBERS No. 164-03 SMALL FUNDS MEMBERS No. 71-03 RE: SEC AND NEW YORK FILE SUIT AGAINST ADVISER AND ITS FOUNDERS FOR MARKET TIMING AND SELECTIVE DISCLOSURE OF FUND HOLDINGS The Securities and Exchange...

[16797] November 20, 2003 TO: COMPLIANCE ADVISORY COMMITTEE No. 101-03 BOARD OF GOVERNORS No. 64-03 SEC RULES MEMBERS No. 160-03 SMALL FUNDS COMMITTEE No. 30-03 RE: SEC AND NASD SETTLE PROCEEDINGS AGAINST A BROKER-DEALER RELATING TO PREFERENTIAL TREATMENT OF FUNDS AND SALES OF CLASS B...

[16777] November 18, 2003 TO: CLOSED-END INVESTMENT COMPANY COMMITTEE No. 59-03 COMPLIANCE ADVISORY COMMITTEE No. 98-03 SEC RULES COMMITTEE No. 91-03 UNIT INVESTMENT TRUST COMMITTEE No. 21-03 RE: INFORMATION TO ASSIST COMPLIANCE WITH THE SEC LETTER REGARDING CERTAIN GOVERNMENT...

[16776] November 18, 2003 TO: BOARD OF GOVERNORS No. 62-03 CEOS ACCOUNTING/TREASURERS COMMITTEE No. 36-03 BROKER/DEALER ADVISORY COMMITTEE No. 32-03 COMPLIANCE ADVISORY COMMITTEE No. 100-03 FEDERAL LEGISLATION MEMBERS No. 23-03 INVESTMENT COMPANY DIRECTORS No. 18-03 OPERATIONS...

[16728] November 18, 2003 TO: COMPLIANCE ADVISORY COMMITTEE No. 99-03 EMERGING MARKETS ROUNDTABLE INTERNATIONAL MEMBERS No. 42-03 PRIMARY CONTACTS - MEMBER COMPLEX No. 100-03 SEC RULES MEMBERS No. 157-03 SMALL FUNDS MEMBERS No. 67-03 RE: NEW WEB-BASED SERVICE NOW AVAILABLE TO MEMBERS...