Compliance Advisory Content

URGENT/ACTION REQUESTED [16572] September 24, 2003 TO: COMPLIANCE ADVISORY COMMITTEE No. 77-03 INTERNATIONAL COMMITTEE No. 64-03 INTERNATIONAL OPERATIONS ADVISORY COMMITTEE No. 38-03 MONEY LAUNDERING RULES WORKING GROUP No. 55-03 PRIMARY CONTACTS - MEMBER COMPLEX No. 77-03 TRANSFER...

[16567] September 22, 2003 TO: CLOSED-END INVESTMENT COMPANY MEMBERS No. 73-03 COMPLIANCE ADVISORY COMMITTEE No. 76-03 SEC RULES MEMBERS No. 125-03 UNIT INVESTMENT TRUST MEMBERS No. 29-03 RE: BROKER-DEALER CENSURED AND FINED FOR VIOLATING NASD NON-CASH COMPENSATION RULES NASD has...

[16548] September 17, 2003 TO: SEC RULES MEMBERS No. 124-03 COMPLIANCE ADVISORY COMMITTEE No. 75-03 RE: NEW YORK STATE ATTORNEY GENERAL AND SEC FILE CHARGES AGAINST BROKER IN CONNECTION WITH MUTUAL FUND TRANSACTIONS The New York State Attorney General’s office and the Securities and...

[16526] September 11, 2003 TO: COMPLIANCE ADVISORY COMMITTEE No. 74-03 INVESTMENT ADVISER ASSOCIATE MEMBERS No. 20-03 INVESTMENT ADVISER MEMBERS No. 33-03 SEC RULES MEMBERS No. 121-03 RE: SEC SANCTIONS INVESTMENT ADVISER FOR INADEQUATE POLICIES RELATING TO PREVENTION OF MISUSE OF NON...

[16520] September 10, 2003 TO: COMPLIANCE ADVISORY COMMITTEE No. 73-03 OPERATIONS MEMBERS No. 27-03 SEC RULES MEMBERS No. 120-03 SALES FORCE MARKETING COMMITTEE No. 15-03 SMALL FUNDS MEMBERS No. 50-03 TECHNOLOGY ADVISORY COMMITTEE No. 11-03 RE: NASD PROPOSES RULE AMENDMENTS TO REQUIRE...

[16509] September 8, 2003 TO: SEC RULES MEMBERS No. 119-03 COMPLIANCE ADVISORY COMMITTEE No. 72-03 SMALL FUNDS MEMBERS No. 49-03 RE: NASD REMINDS MEMBERS OF THEIR OBLIGATIONS REGARDING PRICING AND PROCESSING OF FUND TRANSACTIONS NASD has published a Special Notice to Members to remind...

[16501] September 5, 2003 TO: BOARD OF GOVERNORS No. 44-03 PRIMARY CONTACTS - MEMBER COMPLEX No. 73-03 COMPLIANCE ADVISORY COMMITTEE No. 70-03 SEC RULES MEMBERS No. 118-03 SMALL FUNDS MEMBERS No. 48-03 ACCOUNTING/TREASURERS MEMBERS No. 40-03 RE: MEMBER REVIEW OF HANDLING OF MUTUAL...

URGENT/ACTION REQUESTED [16500] September 5, 2003 TO: COMPLIANCE ADVISORY COMMITTEE No. 71-03 INTERNATIONAL COMMITTEE No. 58-03 INTERNATIONAL OPERATIONS ADVISORY COMMITTEE No. 37-03 MONEY LAUNDERING RULES WORKING GROUP No. 54-03 PRIMARY CONTACTS - MEMBER COMPLEX No. 74-03 TRANSFER...

[16497] September 4, 2003 TO: ACCOUNTING/TREASURERS MEMBERS No. 39-03 BOARD OF GOVERNORS No. 43-03 COMPLIANCE ADVISORY COMMITTEE No. 69-03 DIRECTOR SERVICES COMMITTEE No. 19-03 PRIMARY CONTACTS - MEMBER COMPLEX No. 72-03 SEC RULES MEMBERS No. 117-03 SMALL FUNDS MEMBERS No. 47-03 RE...

[16477] August 28, 2003 TO: COMPLIANCE ADVISORY COMMITTEE No. 67-03 OPERATIONS MEMBERS No. 25-03 PRIMARY CONTACTS - MEMBER COMPLEX No. 68-03 PRIVACY ISSUES WORKING GROUP No. 3-03 SEC RULES MEMBERS No. 113-03 SMALL FUNDS MEMBERS No. 43-03 TECHNOLOGY ADVISORY COMMITTEE No. 10-03 RE...