Compliance Advisory Content

[16475] August 27, 2003 TO: BROKER/DEALER ADVISORY COMMITTEE No. 28-03 COMPLIANCE ADVISORY COMMITTEE No. 66-03 SEC RULES MEMBERS No. 112-03 TRANSFER AGENT ADVISORY COMMITTEE No. 81-03 RE: NASD DIRECTS MEMBERS TO MAKE APPROPRIATE REFUNDS TO CUSTOMERS WHO DID NOT RECEIVE BREAKPOINTS FOR...

[16472] August 26, 2003 TO: COMPLIANCE ADVISORY COMMITTEE No. 64-03 MONEY LAUNDERING RULES WORKING GROUP No. 53-03 SEC RULES COMMITTEE No. 69-03 TRANSFER AGENT ADVISORY COMMITTEE No. 80-03 RE: CUSTOMER VERIFICATION AND THE FAIR CREDIT REPORTING ACT As you know, the customer...

[16473] August 26, 2003 TO: ACCOUNTING/TREASURERS MEMBERS No. 36-03 CLOSED-END INVESTMENT COMPANY MEMBERS No. 69-03 COMPLIANCE ADVISORY COMMITTEE No. 65-03 SEC RULES MEMBERS No. 111-03 RE: SEC ISSUES FREQUENTLY ASKED QUESTIONS ON APPLICATION OF AUDITOR INDEPENDENCE RULES The SEC’s...

URGENT/ACTION REQUESTED [16468] August 25, 2003 TO: COMPLIANCE ADVISORY COMMITTEE No. 63-03 INTERNATIONAL COMMITTEE No. 55-03 INTERNATIONAL OPERATIONS ADVISORY COMMITTEE No. 35-03 MONEY LAUNDERING RULES WORKING GROUP No. 52-03 PRIMARY CONTACTS - MEMBER COMPLEX No. 67-03 TRANSFER AGENT...

URGENT/ACTION REQUESTED [16462] August 22, 2003 TO: COMPLIANCE ADVISORY COMMITTEE No. 62-03 INTERNATIONAL COMMITTEE No. 54-03 INTERNATIONAL OPERATIONS ADVISORY COMMITTEE No. 34-03 MONEY LAUNDERING RULES WORKING GROUP No. 51-03 PRIMARY CONTACTS - MEMBER COMPLEX No. 66-03 TRANSFER AGENT...

[16452] August 20, 2003 TO: COMPLIANCE ADVISORY COMMITTEE No. 61-03 INVESTMENT ADVISER ASSOCIATE MEMBERS No. 18-03 INVESTMENT ADVISERS COMMITTEE No. 19-03 SEC RULES MEMBERS No. 110-03 RE: SETTLEMENT OF SEC ADMINISTRATIVE PROCEEDING AGAINST ADVISER IN CONNECTION WITH ITS VOTING OF...

[16428] August 12, 2003 TO: 529 PLAN ADVISORY COMMITTEE No. 44-03 BROKER/DEALER ADVISORY COMMITTEE No. 25-03 BROKER/DEALER ASSOCIATE MEMBERS No. 4-03 COMPLIANCE ADVISORY COMMITTEE No. 60-03 INTERNAL AUDIT ADVISORY COMMITTEE No. 7-03 MONEY LAUNDERING RULES WORKING GROUP No. 49-03...

URGENT/ACTION REQUESTED [16427] August 8, 2003 TO: COMPLIANCE ADVISORY COMMITTEE No. 59-03 INTERNATIONAL COMMITTEE No. 52-03 INTERNATIONAL OPERATIONS ADVISORY COMMITTEE No. 33-03 MONEY LAUNDERING RULES WORKING GROUP No. 48-03 PRIMARY CONTACTS - MEMBER COMPLEX No. 64-03 TRANSFER AGENT...

[16393] July 31, 2003 TO: COMPLIANCE ADVISORY COMMITTEE No. 58-03 RE: DRAFT COMPLIANCE FUNCTION SURVEY - COMMENTS REQUESTED BY AUGUST 25TH At a meeting of the Compliance Advisory Committee last year, members discussed the possibility of conducting a survey of how the compliance...

[16383] July 30, 2003 TO: COMPLIANCE ADVISORY COMMITTEE No. 57-03 OPERATIONS MEMBERS No. 20-03 PRIMARY CONTACTS - MEMBER COMPLEX No. 60-03 PRIVACY ISSUES WORKING GROUP No. 2-03 SEC RULES MEMBERS No. 100-03 SMALL FUNDS MEMBERS No. 39-03 TECHNOLOGY ADVISORY COMMITTEE No. 8-03 RE: COURT...