Compliance Advisory Content

URGENT/ACTION REQUESTED [16170] June 6, 2003 TO: COMPLIANCE ADVISORY COMMITTEE No. 44-03 INTERNATIONAL COMMITTEE No. 37-03 INTERNATIONAL OPERATIONS ADVISORY COMMITTEE No. 25-03 MONEY LAUNDERING RULES WORKING GROUP No. 37-03 PRIMARY CONTACTS - MEMBER COMPLEX No. 43-03 TRANSFER AGENT...

[16165] June 5, 2003 TO: ACCOUNTING/TREASURERS COMMITTEE No. 22-03 CLOSED-END INVESTMENT COMPANY COMMITTEE No. 38-03 COMPLIANCE ADVISORY COMMITTEE No. 43-03 INVESTMENT ADVISERS COMMITTEE No. 12-03 OPERATIONS COMMITTEE No. 9-03 SEC RULES COMMITTEE No. 54-03 SMALL FUNDS COMMITTEE No. 21...

[16160] June 4, 2003 TO: COMPLIANCE ADVISORY COMMITTEE No. 42-03 SEC RULES COMMITTEE No. 52-03 SMALL FUNDS COMMITTEE No. 19-03 RE: NASD PROPOSAL TO REQUIRE CEO AND CHIEF COMPLIANCE OFFICER CERTIFICATION OF COMPLIANCE POLICIES AND PROCEDURES The National Association of Securities...

URGENT/ACTION REQUESTED [16134] June 2, 2003 TO: COMPLIANCE ADVISORY COMMITTEE No. 41-03 INTERNATIONAL COMMITTEE No. 35-03 INTERNATIONAL OPERATIONS ADVISORY COMMITTEE No. 24-03 MONEY LAUNDERING RULES WORKING GROUP No. 35-03 PRIMARY CONTACTS - MEMBER COMPLEX No. 41-03 TRANSFER AGENT...

URGENT/ACTION REQUESTED [16128] May 29, 2003 TO: COMPLIANCE ADVISORY COMMITTEE No. 40-03 INTERNATIONAL COMMITTEE No. 34-03 INTERNATIONAL OPERATIONS ADVISORY COMMITTEE No. 23-03 MONEY LAUNDERING RULES WORKING GROUP No. 34-03 PRIMARY CONTACTS - MEMBER COMPLEX No. 39-03 TRANSFER AGENT...

[16127] May 28, 2003 TO: CLOSED-END INVESTMENT COMPANY MEMBERS No. 46-03 COMPLIANCE ADVISORY COMMITTEE No. 39-03 INVESTMENT ADVISER MEMBERS No. 20-03 PRIMARY CONTACTS - MEMBER COMPLEX No. 38-03 SEC RULES MEMBERS No. 65-03 SMALL FUNDS MEMBERS No. 24-03 RE: FINAL VERSION OF SAMPLE...

[16122] May 28, 2003 TO: ADVERTISING COMPLIANCE ADVISORY COMMITTEE No. 5-03 CLOSED-END INVESTMENT COMPANY MEMBERS No. 45-03 COMPLIANCE ADVISORY COMMITTEE No. 38-03 SEC RULES MEMBERS No. 64-03 SMALL FUNDS MEMBERS No. 23-03 UNIT INVESTMENT TRUST MEMBERS No. 17-03 RE: SEC APPROVAL OF...

[16103] May 21, 2003 TO: ACCOUNTING/TREASURERS COMMITTEE No. 19-03 CLOSED-END INVESTMENT COMPANY COMMITTEE No. 35-03 COMPLIANCE ADVISORY COMMITTEE No. 37-03 SEC RULES COMMITTEE No. 47-03 SMALL FUNDS COMMITTEE No. 17-03 RE: ICI COMMENT LETTER ON SEC PROPOSAL REGARDING CERTIFICATIONS...

URGENT/ACTION REQUESTED [16033] May 9, 2003 TO: COMPLIANCE ADVISORY COMMITTEE No. 36-03 INTERNATIONAL COMMITTEE No. 32-03 INTERNATIONAL OPERATIONS ADVISORY COMMITTEE No. 22-03 MONEY LAUNDERING RULES WORKING GROUP No. 31-03 PRIMARY CONTACTS - MEMBER COMPLEX No. 35-03 TRANSFER AGENT...

[16022] May 7, 2003 TO: COMPLIANCE ADVISORY COMMITTEE No. 35-03 INTERNATIONAL COMMITTEE No. 31-03 INTERNATIONAL OPERATIONS ADVISORY COMMITTEE No. 21-03 MONEY LAUNDERING RULES WORKING GROUP No. 30-03 PRIMARY CONTACTS - MEMBER COMPLEX No. 34-03 TRANSFER AGENT ADVISORY COMMITTEE No. 46...