Compliance Advisory Content

URGENT/ACTION REQUESTED [16361] July 29, 2003 TO: COMPLIANCE ADVISORY COMMITTEE No. 56-03 INTERNATIONAL COMMITTEE No. 48-03 INTERNATIONAL OPERATIONS ADVISORY COMMITTEE No. 32-03 MONEY LAUNDERING RULES WORKING GROUP No. 47-03 PRIMARY CONTACTS - MEMBER COMPLEX No. 59-03 TRANSFER AGENT...

[16346] July 25, 2003 TO: BOARD OF GOVERNORS No. 38-03 CLOSED-END INVESTMENT COMPANY MEMBERS No. 62-03 DIRECTOR SERVICES COMMITTEE No. 15-03 FEDERAL LEGISLATION MEMBERS No. 14-03 PRIMARY CONTACTS - MEMBER COMPLEX No. 58-03 PUBLIC INFORMATION COMMITTEE No. 25-03 SEC RULES MEMBERS No...

[16295] July 14, 2003 TO: 529 PLAN ADVISORY COMMITTEE No. 40-03 BROKER/DEALER ADVISORY COMMITTEE No. 22-03 COMPLIANCE ADVISORY COMMITTEE No. 54-03 INTERNAL AUDIT ADVISORY COMMITTEE No. 6-03 INTERNATIONAL COMMITTEE No. 43-03 INTERNATIONAL OPERATIONS ADVISORY COMMITTEE No. 30-03...

URGENT/ACTION REQUESTED [16267] July 7, 2003 TO: COMPLIANCE ADVISORY COMMITTEE No. 52-03 INTERNATIONAL COMMITTEE No. 41-03 INTERNATIONAL OPERATIONS ADVISORY COMMITTEE No. 29-03 MONEY LAUNDERING RULES WORKING GROUP No. 44-03 PRIMARY CONTACTS - MEMBER COMPLEX No. 52-03 TRANSFER AGENT...

[16248] June 27, 2003 TO: COMPLIANCE ADVISORY COMMITTEE No. 51-03 SEC RULES MEMBERS No. 83-03 RE: NASD ISSUES INVESTOR ALERT ON CLASS B MUTUAL FUND SHARES In conjunction with issuing a recent enforcement action relating to the unsuitable sale of Class B shares of a mutual fund by a...

[16240] June 26, 2003 TO: 529 PLAN ADVISORY COMMITTEE No. 37-03 BROKER/DEALER ADVISORY COMMITTEE No. 20-03 COMPLIANCE ADVISORY COMMITTEE No. 50-03 INTERNAL AUDIT ADVISORY COMMITTEE No. 5-03 INTERNATIONAL COMMITTEE No. 40-03 INTERNATIONAL OPERATIONS ADVISORY COMMITTEE No. 28-03...

[16236] June 25, 2003 TO: BROKER/DEALER ADVISORY COMMITTEE No. 19-03 COMPLIANCE ADVISORY COMMITTEE No. 49-03 MONEY LAUNDERING RULES WORKING GROUP No. 40-03 SEC RULES COMMITTEE No. 59-03 SMALL FUNDS COMMITTEE No. 22-03 TRANSFER AGENT ADVISORY COMMITTEE No. 62-03 RE: ICI REQUEST FOR...

URGENT/ACTION REQUESTED [16233] June 24, 2003 TO: COMPLIANCE ADVISORY COMMITTEE No. 48-03 INTERNATIONAL COMMITTEE No. 39-03 INTERNATIONAL OPERATIONS ADVISORY COMMITTEE No. 27-03 MONEY LAUNDERING RULES WORKING GROUP No. 39-03 PRIMARY CONTACTS - MEMBER COMPLEX No. 51-03 TRANSFER AGENT...

[16224] June 20, 2003 TO: ADVERTISING COMPLIANCE ADVISORY COMMITTEE No. 6-03 COMPLIANCE ADVISORY COMMITTEE No. 47-03 SEC RULES MEMBERS No. 79-03 TECHNOLOGY ADVISORY COMMITTEE No. 4-03 RE: NASD CLARIFIES MEMBERS’ RESPONSIBILITIES IN CONNECTION WITH USE OF INSTANT MESSAGING NASD...

[16204] June 13, 2003 TO: ACCOUNTING/TREASURERS MEMBERS No. 29-03 CLOSED-END INVESTMENT COMPANY MEMBERS No. 51-03 COMPLIANCE ADVISORY COMMITTEE No. 46-03 INTERNAL AUDIT ADVISORY COMMITTEE No. 4-03 PRIMARY CONTACTS - MEMBER COMPLEX No. 47-03 SEC RULES MEMBERS No. 74-03 SMALL FUNDS...